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Ross B Bartfield

SUN Life Institutional Distributors (u.s.) LLC

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About Ross B Bartfield

Ross Bartfield is a financial professional with over 18 years of experience in the financial services industry. Ross is currently registered with Sun Life Institutional Distributors (u.s.) LLC, and previously held roles with Edward Jones, Triad Securities Corp, AVM, L.P., and other financial institutions. Ross holds the Series 63, Series 66 and Series 7 securities licenses, and is licensed in 52 states and the District of Columbia. Ross is committed to providing clients with personalized financial advice and solutions that meet their individual needs.

Firm Information

Ross Bartfield is currently registered with SUN Life Institutional Distributors (u.s.) LLC. SUN Life Institutional Distributors (u.s.) LLC is a Limited Liability Company formed in 2013 and is approved to operate in all 50 states, as well as the District of Columbia, Virgin Islands, and Puerto Rico. The firm is registered with the SEC and operates as a financial services provider.

Not reported

Assets Under Management

Not reported

Total Clients

19

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Ross Bartfield’s Registration & Firm History

NY

12/11/2023 - Present

SUN Life Institutional Distributors (u.s.) LLC (New York NY)

MO

11/19/2018 - 01/31/2019

EDWARD JONES (ST. LOUIS MO)

NY

01/05/2017 - 11/15/2018

TRIAD SECURITIES CORP (NEW YORK NY)

FL

08/15/2011 - 01/04/2017

AVM, L.P. (BOCA RATON FL)

NY

10/12/2010 - 07/29/2011

EDGEROCK BD LLC (NEW YORK NY)

NY

06/24/2009 - 09/22/2009

HMC INVESTMENTS, INC. (NEW YORK NY)

NY

12/01/2008 - 03/18/2009

GAR WOOD SECURITIES, LLC (NEW YORK NY)

NY

07/30/2004 - 11/13/2006

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

02/21/2002 - 06/28/2004

UBS SECURITIES LLC (NEW YORK NY)

NJ

09/27/1999 - 06/28/2004

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

01/17/1992 - 02/10/1993

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

03/20/1990 - 08/01/1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/08/2023

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 12/12/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/18/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ross B Bartfield.
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