Articles Tagged with David Bartfield

David BartfieldPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Colorado-based Edward Jones broker/adviser David Bartfield has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bartfield (CRD# 4511930).

David Bartfield has spent 14 years in the securities industry and has been registered with Edward Jones in Aurora, Colorado since 2013. Previous registrations include WTS Proprietary Trading Group in New York, New York (2012-2013); AXA Advisors in Denver, Colorado (2010-2012); Northwestern Mutual Investment Services in Denver, Colorado (2009); Jackson National Life Distributors in Denver, Colorado (2007-2008); AG Edwards & Sons in Milwaukee, Wisconsin (2006-2007); Chase Investment Services Corporation in Chicago, Illinois (2005-2006); Banc One Securities Corporation in Chicago, Illinois (2005); and RBC Dain Rauscher in New York, New York (2002-2004). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 22, 2013; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on May 2, 2002. He is a registered broker and investment adviser with 13 US states and territories: Alabama, Arizona, Colorado, Florida, Illinois, Maryland, Michigan, New Jersey, New Mexico, Texas, Virginia, Washington, and Wisconsin. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.