Investment Management at Bartlett

This site has been published for residents of the United States. This site is for information purposes only and is not intended to be a solicitation or offering of any security to investors residing outside of the United States.

• Representatives of a broker-dealer ("BD") or investment adviser ("IA") may only conduct business in a state if the representatives and the BD or IA they represent (a) satisfy the qualification requirements of, and are approved to do business by, the state; or (b) are excluded or exempted from the state's licensure requirements.
• Representatives of a BD or IA are deemed to conduct business in a state to the extent that they provide individualized responses to investor inquiries that involve (a) effecting, or attempting to effect, transactions in securities; or (b) rendering personalized investment advice for compensation.
• An investor may obtain information concerning a BD, an IA, or a representative of a BD or an IA, including their licensure status and disciplinary history, by contacting the investor's state securities law administrator.