AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AB

April M. Bartlett

Some features on this profile are disabled
CRD#: 4336851
AB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

April Michelle Bartlett was a registered financial professional .

April is a previously registered financial professional and started their career in finance in 2001. April had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 6, 2016 - March 31, 2017

EK RILEY INVESTMENTS, LLC

BD
CRD#: 121003
SEATTLE, WA
Past

February 12, 2009 - March 3, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
BELLEVUE, WA
Past

February 12, 2009 - March 3, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
BELLEVUE, WA
Past

August 8, 2008 - February 27, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
BELLEVUE, WA
Past

August 8, 2008 - February 27, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
BELLEVUE, WA
Past

February 26, 2007 - October 22, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SEATTLE, WA
Past

April 24, 2006 - October 22, 2007

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SEATTLE, WA
Past

July 14, 2005 - April 6, 2006

EK RILEY INVESTMENTS, LLC

BD
CRD#: 121003
SEATTLE, WA
Past

October 23, 2001 - July 21, 2005

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/23/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/26/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/22/2001
General Securities Representative Examination

Current Firm

ER
EK RILEY INVESTMENTS, LLC
DIAZO WEALTH GROUP AT E.K. RILEY INVESTMENTS, LLC | EK RILEY INVESTMENTS, LLC

CRD#: 121003 / SEC#: 801-78547, 8-65369

BD
Terminated by SEC on 01/01/2021
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1420 5th Avenue Suite 3300, Seattle, WA 98101
Mailing Address
Phone number
Established
Washington since 05/08/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
EK RILEY & CO., INC.MEMBER
LOUCH, AARON DAVIDCCO / CHIEF FINANCIAL OFFICER2662983

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

EK RILEY INVESTMENTS, LLC

CRD#: 121003

TRUST BUT VERIFY

Monitor April Bartlett

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.