Philip K. Bartow
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.
Philip K Bartow III was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2002. Philip had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2015 - May 22, 2019
RIVERNORTH CAPITAL MANAGEMENT, LLC
February 26, 2010 - June 9, 2015
SPRING HILL CAPITAL MARKETS, L.L.C.
April 9, 2009 - January 9, 2014
RAFFERTY CAPITAL MARKETS, LLC
September 26, 2002 - February 14, 2008
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
RIVERNORTH CAPITAL MANAGEMENT, LLC
CRD#: 122020 / SEC#: 801-61533
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RIVERNORTH CAPITAL MANAGEMENT, LLC
CRD#: 122020 / SEC#: 801-61533
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 6,181,636,447 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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