Richard T. Bartow

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CRD#: 4973918

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.

Richard Thomas Bartow, who also goes by Rich T Bartow, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2005. Richard had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rich T Bartow

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)Resources Investment Advisors;investment related;4860 College Blvd,Overland Park,KS 66211;investment advisor;investment advisor representative;10/2018;40 hrs/month;3 hrs during trading;educate and sell financial products to retail clients,registered investment advisor of Resources Investment Advisors 2)Prosperity Financial & RIA;investment related;4860 College Blvd,Overland Park,KS;fee based fund management;advisor;10/2018;20 hrs/month;5 hrs during trading;trading on Resources platform 3)Life Insurance 01/01/2007 4. Raymore-Peculiar Public School Foundation Address: 21005 South School Road,Peculiar , MO Nature of the Business: Board Member/Officer/Director Position/Title: Board Member/Officer/Director Investment Related:Yes Start Date: 03/02/2020 Hours per month devoted to this business: 1 Hours per month devoted to this business during trading hours: 0 Description of duties: Board Member

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

March 2, 2020 - January 25, 2023

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

Leawood, KS

Past

March 2, 2020 - January 25, 2023

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Leawood, KS

Past

October 15, 2018 - April 1, 2020

ONEDIGITAL

RIA

CRD#: 106766

SPRINGFIELD, MO

Past

October 1, 2018 - December 23, 2019

TRIAD ADVISORS LLC

CRD#: 25803

Springfield, MO

Past

March 9, 2017 - October 2, 2018

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

PECULIAR, MO

Past

May 4, 2015 - October 2, 2018

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

Peculiar, MO

Past

January 28, 2011 - April 21, 2015

LAWING FINANCIAL INC

RIA

CRD#: 117178

OVERLAND PARK, KS

Past

July 16, 2010 - May 5, 2015

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

OVERLAND PARK, KS

Past

March 3, 2009 - July 16, 2010

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

OVERLAND PARK, KS

Past

May 21, 2007 - February 24, 2009

SIGNATOR INVESTORS, INC.

CRD#: 468

OVERLAND PARK, KS

Past

October 2, 2006 - April 18, 2007

CBIZ FINANCIAL SOLUTIONS, INC.

CRD#: 16678

LEAWOOD, KS

Past

September 8, 2005 - May 17, 2006

EDWARD JONES

CRD#: 250

ATCHISON, KS

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".

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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.

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: 1/27/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/2005

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: 9/7/2005

General Securities Representative Examination

Current Firm

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

880 Carillon Parkway, St. Petersburg, FL 33716

Mailing Address

880 Carillon Parkway, St. Petersburg, FL 33716

Phone number

(727) 567-1000

Established

Florida since 02/19/1969

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

13,966

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES WRAP FEE PROGRAM BROCHURE (12/1/2025)

RAYMOND JAMES FORM ADV PART 2A BROCHURE (12/1/2025)

INSTITUTIONAL FIDUCIARY SOLUTIONS PROGRAM BROCHURE (6/30/2025)

PUBLIC FINANCE INVESTMENT STRATEGIES BROCHURE (12/20/2024)

Direct owners and executive officers

Name	Position	CRD#
RAYMOND JAMES FINANCIAL, INC.	HOLDING COMPANY
BARKO, SHAWN JOSEPH	CHIEF COMPLIANCE OFFICER	2690394
BUNN, JAMES EDWARD	DIRECTOR	3130320
CURTIS, SCOTT	DIRECTOR	1707935
DELEON, ALLYSSA NICOLE	PRINCIPAL FINANCIAL OFFICER / FINOP	6902665
ELWYN, TASHTEGO SPRING	PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR	2319098
MARTIN, PHILIP ROGER	RIA CHIEF COMPLIANCE OFFICER	2613565
RUST, KEITH G	DIRECTOR, PRINCIPAL OPERATIONS OFFICER	5915636
SANTELLI, JONATHAN	GENERAL COUNSEL / SECRETARY	6306997
SICKLING, JAMES PHILIP	DIRECTOR	1240810

Regulatory assets under management

Total Number of Accounts	1,070,028
AUM (Assets Under Management)	$ 433,814,330,581

Disclosures

Regulatory Event	181
Arbitration	72

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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

Richard T. Bartow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

ONEDIGITAL

TRIAD ADVISORS LLC

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

LAWING FINANCIAL INC

CAMBRIDGE INVESTMENT RESEARCH, INC.

THE O.N. EQUITY SALES COMPANY

SIGNATOR INVESTORS, INC.

CBIZ FINANCIAL SOLUTIONS, INC.

EDWARD JONES

Primary Firm SEC Registration

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/2011

Series 63

Date: 9/23/2005

SIE

Date: 10/1/2018

Series 7

Date: 9/7/2005

Current Firm

RAYMOND JAMES & ASSOCIATES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES & ASSOCIATES, INC.

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