Ray R. Bartolome
FALCON WEALTH PLANNING | Chief Compliance Officer & Chief Operating Officer
ONTARIO, CA 91764
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CRD#: 3214117
Professional summary
Ray Ramos Bartolome is a registered financial advisor currently at FALCON WEALTH PLANNING, INC. located in Ontario, California.
Ray is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Ray has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Biography
With 22 years in the financial industry, Ray is a veteran in the business. Prior to Falcon Wealth Planning, he served in various management positions at Charles Schwab & Co., Inc. for over 17 years and most recently was in management at TD Ameritrade for over 4 years.
He holds Series 7, 63, 66, 9 & 10 licenses and over the years, Ray has developed an expert skill set in handling finance and investments as well as management of large teams to help deliver a scalable process-oriented model.
Ray graduated with a Bachelor of Science degree in Physical Therapy. In his spare time, he enjoys gardening and travelling with his wife, Haidee. He is also an avid photographer, an occasional chess player and a full-time dad to their cute Maltese, Rocky Road.
About Falcon Wealth Planning:
Falcon Wealth Planning, Inc. is a Registered Investment Advisor offering an innovative business model for financial planning; a model that places the client first by design and eliminates the conflicts of interest inherent in traditional models.
Every aspect of Falcon Wealth Planning is aligned with the client’s interests. The hybrid, retainer-based business model overcomes one of the major criticisms of the financial planning industry: a conflict of interest between the client’s needs and the advisor’s compensation. Falcon Wealth advisors are salaried employees who are never compensated by the sale of financial products or asset management fees, allowing them to focus on providing the best planning advice for their clients.
Question & Answer
What are your service offerings?
Financial Planning
Investment Management
Tax Planning
Tax Preparation
Retirement Planning
Estate Planning
Business Planning
Do you have an area of expertise or specialization?
Blended Families
Budgeting
Cash Flow Analysis
Customized Portfolios
Divorce Planning
Emergency Funds Management
Estate Planning
Executive Compensation (ISO, R...
FIRE (Financial Independence R...
High Net Worth Planning
Investment Management
Philanthropic and Non-Profit
Real Estate (LLP, REIT's, Priv...
Retirement Planning
Risk Management and Insurance ...
Small Business Planning
Tax Planning and Preparation
What is your minimum asset requirement?
250K
How do you get paid?
Fee-only
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
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.
CRS (Client Relationship Summary) - RIA
Click below to view Ray Ramos Bartolome's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 16, 2021 - Present
FALCON WEALTH PLANNING, INC.
Office #1: 3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764RIA
CRD#: 174092
ONTARIO, CA
Past
November 23, 2016 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Rancho Cucamonga, CA
Past
November 23, 2016 - January 11, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
Upland, CA
Past
October 18, 2016 - January 11, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
Upland, CA
Past
December 6, 2000 - September 13, 2016
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.
CRD#: 174092 / SEC#: 801-112659
RIA
Registered Investment Advisory firm - (3/19/2018 Approved)California
Registered Investment Advisory firm - (5/5/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(11/16/2021)
IAR
Texas(11/16/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.
CRD#: 174092 / SEC#: 801-112659
RIA
Registered Investment Advisory firm - (3/19/2018 Approved)California
Registered Investment Advisory firm - (5/5/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764
Mailing Address
Phone number
(855) 963-2526
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,575 |
| AUM (Assets Under Management) | $ 1,159,538,045 |
Red Flags
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Company Information
FALCON WEALTH PLANNING, INC.
Chief Compliance Officer & Chief Operating OfficerCRD#: 174092Ontario, CA 91764TRUST BUT VERIFY
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Contact information
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