Brad A. Bartz

RIDGEWOOD WEALTH MANAGEMENT LLC

Southlake, TX 76092

Some features on this profile are disabled

CRD#: 5711276

Professional summary

Brad A Bartz is a registered financial advisor currently at RIDGEWOOD WEALTH MANAGEMENT LLC located in Southlake, Texas.

Brad is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Brad has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brad A Bartz'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®

None

Experience

Current

June 4, 2019 - Present

RIDGEWOOD WEALTH MANAGEMENT LLC

Office #1: 180 State Street Suite 225, Southlake, TX 76092

RIA

CRD#: 302033

Southlake, TX

Past

July 13, 2018 - April 15, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

September 13, 2010 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SOUTHLAKE, TX

Past

November 12, 2009 - April 9, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SOUTHLAKE, TX

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

Texas
(6/4/2019)

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 66

Date: 9/10/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/21/2009

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: 11/11/2009

General Securities Representative Examination

Current Firm

RIDGEWOOD WEALTH MANAGEMENT LLC

CRD#: 302033 / SEC#:

Texas

Registered Investment Advisory firm - (6/4/2019 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

180 State Street Suite 225, Southlake, TX 76092

Mailing Address

Phone number

(817) 301-5190

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 21,604,230

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.

Similar Advisors

David Alvarez

EDWARD JONES

IAR

Grapevine, TX

Sean Leonard

LPL FINANCIAL LLC

IAR

Hurst, TX

Robert Shannon

BRAZOS WEALTH ADVISORS LLC

IAR

FORT WORTH, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brad A. Bartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brad A Bartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIDGEWOOD WEALTH MANAGEMENT LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/10/2010

Series 63

Date: 12/21/2009

SIE

Date: 10/1/2018

Series 7

Date: 11/11/2009

Current Firm

RIDGEWOOD WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RIDGEWOOD WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors