Charles Andrew Bartels
Professional Summary
Charles Andrew Bartels, who also goes by Chad Bartels, is a registered financial advisor currently at RACE ROCK CAPITAL LLC located in Darien, Connecticut. Charles is registered as a RR (Registered Representative) and started their career in finance in 1999. Charles has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 14, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Chad Bartels
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
RACE ROCK CAPITAL LLC
Contact Information
Main Address
7 Wainwright Road Unit #99, Winchester, MA 01890Mailing Address
7 Wainwright Road Unit #99, Winchester, MA 01890Phone Number
(617) 840-0778Established
Delaware since 02/09/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (9 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/15/2014)
(1/3/2023)
(6/19/2015)
(1/30/2014)
(2/25/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 2000Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jul 2019About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Charles Andrew Bartels's CRS (Customer Relationship Summary).
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