Jonathan M. Bartholomew

ROCK RIDGE WEALTH LLC

Sackets Harbor, NY

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CRD#: 4586194

Professional summary

Jonathan Michael Bartholomew, AIF®, who also goes by Jonathan Bartholomew, is a registered financial advisor currently at ROCK RIDGE WEALTH LLC located in Sackets Harbor, New York.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Jonathan has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan Bartholomew

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) 11/07/2019 - CONCEALED DESIGNS - Furniture design business - inv rel - Oswego, NY - start: 10/2019 - 10 hr/mth. I am the owner of Concealed Designs LLC a furniture design business that is still in the start up phase with currently no sales. 2) My plan is to affiliate with PKS Investments as my broker dealer for commission related business, insurance business, and group retirement accounts.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Michael Bartholomew'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

July 19, 2021 - Present

ROCK RIDGE WEALTH LLC

RIA

CRD#: 313914

Sackets Harbor, NY

Past

November 13, 2019 - July 26, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

WATERTOWN, NY

Past

November 8, 2019 - July 26, 2021

LPL FINANCIAL LLC

CRD#: 6413

WATERTOWN, NY

Past

December 19, 2014 - October 10, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

OSWEGO, NY

Past

December 4, 2014 - October 10, 2019

LPL FINANCIAL LLC

CRD#: 6413

OSWEGO, NY

Past

July 18, 2012 - November 14, 2014

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

INTERLAKEN, NY

Past

July 18, 2012 - November 14, 2014

INVEST FINANCIAL CORPORATION

CRD#: 12984

INTERLAKEN, NY

Past

April 2, 2009 - July 18, 2012

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

FULTON, NY

Past

November 25, 2008 - July 18, 2012

HSBC SECURITIES (USA) INC.

CRD#: 19585

FULTON, NY

Past

June 11, 2007 - November 19, 2008

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

SURFSIDE BEACH, SC

Past

January 4, 2006 - January 17, 2007

HSBC SECURITIES (USA) INC.

CRD#: 19585

WATERTOWN, NY

Past

October 22, 2002 - November 1, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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

Louisiana
(9/14/2021)

IAR

New York
(7/19/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/2/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/28/2002

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: 10/2/2008

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 5/23/2005

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 10/21/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/30/2016

General Securities Principal Examination

Current Firm

ROCK RIDGE WEALTH LLC

CRD#: 313914 / SEC#: 801-121402

RIA

Registered Investment Advisory firm - (11/1/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (10/25/2021 Approved)

New York

Registered Investment Advisory firm - (10/19/2021 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Sackets Harbor, NY

Mailing Address

Phone number

(315) 843-0698

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	146
AUM (Assets Under Management)	$ 16,686,664

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

Jonathan M. Bartholomew

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Michael Bartholomew's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

ALLSTATE FINANCIAL SERVICES, LLC

HSBC SECURITIES (USA) INC.

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/2009

Series 63

Date: 10/28/2002

SIE

Date: 10/1/2018

Series 7

Date: 10/2/2008

Series 62

Date: 5/23/2005

Series 6

Date: 10/21/2002

Series 24

Date: 11/30/2016

Current Firm

ROCK RIDGE WEALTH LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROCK RIDGE WEALTH LLC

TRUST BUT VERIFY

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