Kathy B. Bartlett

AMB WEALTH

Thomasville, GA 31792

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CRD#: 4414403

Professional summary

Kathy Bennett Bartlett, who also goes by Kathy Sue Bennett, is a registered financial advisor currently at AMB WEALTH, LLC located in Thomasville, Georgia and ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC located in Thomasville, Georgia.

Kathy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kathy has worked at 6 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathy Sue Bennett

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.

1) Bartlett Real Estate DBA Gary Bartlett Real Estate LLC; Vice-President and Treasurer; Residential Real Estate Brokerage; Licensed Real Estate Sales Associate in Florida; non-investment related; approximately 1 hour per month spent on accounting matters outside of market hours. 2) Licensed Insurance Agent: Non-variable insurance / investment related activity; 1 hour monthly spent on activity and during market trading hours; Start date: 10/24/2001

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathy Bennett Bartlett's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 23, 2023 - Present

AMB WEALTH, LLC

Office #1: 135 South Madison Street, Thomasville, GA 31792

RIA

CRD#: 113106

Thomasville, GA

Current

October 26, 2021 - Present

ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC

Office #1: 135 S. Madison Street, Thomasville, GA 31792

CRD#: 142619

Thomasville, GA

Past

August 31, 2016 - January 19, 2021

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

TALLAHASSEE, FL

Past

January 5, 2005 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

TALLAHASSEE, FL

Past

December 13, 2004 - January 19, 2021

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

TALLAHASSEE, FL

Past

June 16, 2003 - December 9, 2004

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

TALLAHASSEE, FL

Past

May 1, 2003 - December 9, 2004

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

August 15, 2001 - March 20, 2003

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

TALLAHASSE, FL

Past

August 13, 2001 - March 20, 2003

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

AMB WEALTH, LLC

CRD#: 113106 / SEC#: 801-60350

RIA

Registered Investment Advisory firm - (6/13/2001 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(10/26/2021)

IAR

Florida
(11/2/2023)

Georgia
(10/26/2021)

IAR

Georgia
(2/23/2023)

Texas
(1/31/2023)

IAR

Texas
(3/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/28/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/26/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/7/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/9/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/29/2005

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

AMB WEALTH, LLC

CRD#: 113106 / SEC#: 801-60350

RIA

Registered Investment Advisory firm - (6/13/2001 Approved)

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Contact information

Main Address

135 South Madison Street, Thomasville, GA 31792

Mailing Address

P.o. Box 1116, Thomasville, GA 31799-1116

Phone number

(866) 277-1500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AMB WEALTH LLC ADV 2A 02.27.2025 (2/27/2025)

Regulatory assets under management

Total Number of Accounts	985
AUM (Assets Under Management)	$ 1,010,736,265

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.

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Advisor Monitoring

Firm Stability Insights

Kathy B. Bartlett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathy Bennett Bartlett's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

AMB WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/28/2023

Series 66

Date: 1/26/2005

Series 63

Date: 9/7/2001

SIE

Date: 10/1/2018

Series 7

Date: 8/9/2001

Series 26

Date: 3/29/2005

FINRA

Current Firm

AMB WEALTH, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMB WEALTH, LLC

TRUST BUT VERIFY

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