Ray O. Dibartolomeo

IRONCREST CAPITAL MANAGEMENT LLC

SANTA BARBARA, CA 93105

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CRD#: 6541982

Professional summary

Ray Owen Dibartolomeo, who also goes by Ray Dibartolomeo, Raymond O Dibartolomeo, is a registered financial advisor currently at IRONCREST CAPITAL MANAGEMENT LLC located in Santa Barbara, California.

Ray is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Ray has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ray Dibartolomeo | Raymond O Dibartolomeo

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) CA RESIDENT INSURANCE PRODUCER; NOT INVESTMENT-RELATED; 2420 CASTILLO STREET, SUITE 100, SANTA BARBARA, CA 93105; LICENSED INSURANCE AGENT/BROKER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ray Owen Dibartolomeo'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

August 24, 2020 - Present

IRONCREST CAPITAL MANAGEMENT LLC

Office #1: 2420 Castillo Street Suite 100, Santa Barbara, CA 93105

RIA

CRD#: 310022

SANTA BARBARA, CA

Past

July 13, 2016 - August 25, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WESTLAKE VILLAGE, CA

Past

July 12, 2016 - August 25, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WESTLAKE VILLAGE, CA

Past

December 8, 2015 - July 25, 2016

QUEST CAPITAL STRATEGIES, INC.

RIA

CRD#: 16783

THOUSAND OAKS, CA

Past

December 7, 2015 - July 25, 2016

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

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

California
(8/24/2020)

IAR

Texas
(1/6/2021)

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 66

Date: 10/23/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/2015

General Securities Representative Examination

Current Firm

IRONCREST CAPITAL MANAGEMENT LLC

CRD#: 310022 / SEC#: 801-119333

RIA

Registered Investment Advisory firm - (5/28/2021 Terminated)

California

Registered Investment Advisory firm - (3/12/2021 Approved)

Texas

Registered Investment Advisory firm - (12/18/2020 Conditional Restricted)

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

2420 Castillo Street Suite 100, Santa Barbara, CA 93105

Mailing Address

Phone number

(213) 709-4729

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	179
AUM (Assets Under Management)	$ 40,052,754

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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Ray O. Dibartolomeo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ray Owen Dibartolomeo's CRS (Customer Relationship Summary).

Certified licenses

Experience

IRONCREST CAPITAL MANAGEMENT LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/23/2015

SIE

Date: 10/1/2018

Series 7

Date: 9/29/2015

Current Firm

IRONCREST CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

IRONCREST CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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