Alvery Anthony Bartlett Jr (CRD #13975) Has Regulatory and Customer Dispute Disclosures on FINRA BrokerCheck

Alvery Anthony Bartlett Jr (CRD #13975) was previously registered as a broker and has disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on March 26, 2026. It reflects one regulatory event and eleven customer disputes. If you invested with Alvery Bartlett and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Regulatory Action(s)

Alvery Bartlett’s FINRA BrokerCheck Report reflects one regulatory action disclosure. A summary of the matter is below:

On June 29, 2023, Missouri initiated a regulatory action tied to Bartlett’s registration while he was with Aegis Capital Corp. Alvery Bartlett’s FINRA BrokerCheck says Missouri alleged that, while he was under heightened supervision from September 1, 2020 to September 1, 2022, the Registration Section did not receive notice of an investor complaint and he did not complete the two-year supervision term. The matter was resolved by consent on June 27, 2024. The report states he was ordered to pay a $7,500 fine to the Missouri Secretary of State’s Education and Protection Fund, and his Missouri registration was suspended until final disposition of the matter.

Investor Disputes / Customer Complaints

Alvery Bartlett’s FINRA BrokerCheck Report reflects eleven customer dispute disclosures. Two examples are below. Alvery Bartlett’s FINRA BrokerCheck also reflects nine additional customer dispute disclosures.

On March 13, 2026, multiple claimants alleged Alvery Bartlett recommended an investment strategy concentrated in illiquid, speculative, high-commission alternative investments between about 2001 and 2016. Alvery Bartlett’s FINRA BrokerCheck Report says the claimants also alleged the strategy was misrepresented and that due diligence and supervision were inadequate. FINRA BrokerCheck lists the products as direct investment-DPP & LP interests, oil and gas, real estate securities, and a business development company. The claimants sought $1,000,000 in damages. The matter settled on March 11, 2026 for $8,333.33, with no individual contribution listed for Bartlett.

On December 23, 2025, claimants alleged Alvery Bartlett recommended an unsuitable debt-corporate investment in March 2021. Alvery Bartlett’s FINRA BrokerCheck Report lists the product as debt-corporate. The claimants sought $300,000 in damages. The matter settled on February 12, 2026 for $30,000, with no individual contribution listed for Bartlett.

Rule Summary #1: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to maintain a supervisory system that is reasonably designed to achieve compliance. When a matter involves heightened supervision or alleged failures to monitor activity, this rule is often central.

Rule Summary #2: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis to believe an investment recommendation is suitable for the customer. Disputes involving concentrated, illiquid, or speculative investments often raise questions about whether the recommendation fit the investor’s profile.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Alvery Bartlett:

Is not currently registered.

Has passed two principal/supervisory exams, four general industry/product exams, and one state securities law exam.

Was previously registered with firms that include Aegis Capital Corp., Arete Wealth Management, LLC, and Berthel, Fisher & Company Financial Services, Inc.

Kurta Law Can Help

If you have worked with Alvery Bartlett and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful Resources: Securities Attorney | Investment Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.