Brooks Bartlett, financial advisor Falmouth MA
93 score

Brooks Bartlett

CRD Number: 5515218
Current Firm: Securities America Advisors, Inc.

Brooks Bartlett (CRD# 5515218) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Falmouth, MA and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Securities America, Inc. Falmouth, MA Nov 2014 - Current 2
Bartlett Financial Services Falmouth, MA Feb 2011 - Current 5
Sunset Financial Services Kansas City, MO Mar 2012 - Nov 2014 2
Metlife Securities Providence, RI Apr 2008 - Feb 2012 3
Wine Warehouse Tampa, FL Apr 2005 - Apr 2008 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2008
S65 NASAA Investment Advisors Law Examination Jul 2012
Contact Info for Brooks P. Bartlett
Phone Number: 402-399-9111
Registered State(s):
  • MA
  • NC
By the Numbers
  • Total Assets Under Management
    13,433
    MILLIONS
  • Total Number of Accounts
    92,356
    ACCOUNTS
  • Average Account Value
    $145,443
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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