Alvery Bartlett (CRD #13975), a broker registered with Aegis Capital Corporation, is facing allegations he made unsuitable investment recommendations, according to his BrokerCheck record, accessed August 24, 2020. Do you have questions about how Alvery Bartlett chose his investments? Keep reading to learn more.
On June 8, 2020, clients alleged that Alvery Bartlett made a series of recommendations in illiquid, high-commission investments which were unsuitable and resulted in over-concentration of certain securities in their portfolio. The clients further allege that the firm failed to conduct adequate due diligence. The dispute is pending.
On August 13, 2019, clients alleged that Alvery Bartlett made unsuitable recommendations. They sought $3,940,000 in damages; the dispute settled for $450,000.
On January 23, 2015 clients alleged that Alvery Bartlett made unsuitable investment recommendations and misrepresented certain securities. The dispute settled for $25,000.
Alvery Bartlett has passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 5 Interest Rate Options Examination, the Series 1 Registered Representative Examination, and the Series 24 General Securities Principal Examination. He is a registered broker in California, D.C., Georgia, Kansas, Maryland, Michigan, and New York.
Alvery Bartlett has worked in the securities industry for 37 years.
- Arete Wealth Management, LLC (CRD #: 44856)
- Berthel, Fisher & Company Financial Services, Incorporated (CRD #: 13609)
- The Bartlett Fund Management Co. (CRD #: 27273)
- Derand/ Pennington/ Bass, Incorporated (CRD #: 4679)
- Mark Twain Brokerage Services, Incoporated (CRD #: 16925)
- Alvery Bartlett Brokerage Co. (CRD #: 13487)
- Clayton Brokerage Co. of St. Louis, Incorporated (CRD #: 6577)
If Alvery Bartlett was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for your free case consultation with a securities attorney.