Jason Bartolotta
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.
Jason Bartolotta was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2003. Jason had worked at 10 firms and has passed the 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
February 26, 2015 - April 10, 2015
WOODSTOCK FINANCIAL GROUP, INC.
November 19, 2014 - February 26, 2015
NETWORK 1 FINANCIAL SECURITIES INC.
October 22, 2012 - December 3, 2012
BROOKVILLE CAPITAL PARTNERS
December 6, 2011 - November 20, 2012
JOHN THOMAS FINANCIAL
August 8, 2011 - September 19, 2011
EKN FINANCIAL SERVICES INC.
July 27, 2011 - August 9, 2011
JOHN THOMAS FINANCIAL
November 12, 2010 - June 24, 2011
EKN FINANCIAL SERVICES INC.
April 9, 2008 - November 10, 2010
OBSIDIAN FINANCIAL GROUP, LLC
April 10, 2007 - April 15, 2008
WESTROCK ADVISORS, INC.
February 28, 2007 - April 13, 2007
ANDREW GARRETT INC.
November 25, 2003 - March 1, 2007
S.W. BACH & COMPANY
August 29, 2003 - December 18, 2003
HARRISON SECURITIES, INC.
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
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
Red Flags
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