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1213 Culbreth Drive, Suite 346, Wilmington, NC 28405

(720) 226-7511

Securities and Corporate Legal Expertise You Can Rely On

Securities and Corporate Legal Expertise You Can Rely On


About Us

The Firm


Bart and Associates provides legal services related to all aspects of corporate and business transactional law, with a specific focus on securities and investment-based law for public and private entities as well as their shareholders.  What we have learned from our years of experience in these highly scrutinized industries, is that having legal representation is always important in nearly every facet of business, but in today's climate of heightened regulation, it is critical. 

The core principles of Bart and Associates are to provide exceptional legal services, while simultaneously ensuring a short turnaround of our work for our clients.  We feel it is unacceptable for our clients to wait endlessly for a project to be returned, which is why we work our hardest to complete all work in a very timely manner.  Unlike large law firms, where size can lead to neglected clients, we strive to keep close contact with all of our clients, and put a premium on being available as the needs of our clients arise.

At Bart and Associates we understand that our firm and our clients flourish together, and that the growth of this law firm is rooted in a kind of practical perfectionism, through performing work for our clients expeditiously without sacrificing an exacting attention to detail.  We work toward this common goal while still exemplifying the integrity and high ethical standards that lie at the foundation of the attorney-client relationship.  This unflinching commitment to our clients is absolutely vital if an atmosphere of mutual trust is to exist between our firm and our clients.  We gladly work with all types of clients, including individuals, large and small businesses, and investment companies.  Although the size of our clients may differ significantly, our commitment to each client remains the same:  to represent each client to the fullest of our abilities and with unwavering tenacity.  

Practice Areas


Bart and Associates strives to provide excellent legal representation for many types of corporate, business, securities and investment-related clients.  Below is a list of our practice areas:

- Corporate Governance and Compliance

- Corporate Restructuring and Reverse Mergers

- The Securities Act of 1933

- The Securities Exchange Act of 1934

- Rule 144 and "Non-Shell" Opinion Letters 

- Initial Public Offering and subsequent offering documents, including all Form S Registration Statements,     

  Form 10, Form 424B3 and Form 8A

- FINRA and DTC filings, including filings under Rule 15c2-11

- Quarterly and Annual filings for public entities

- Public Entity Uplisting 

- Private Placement Memorandums




Owner/Managing Partner


Ken has extensive experience in all aspects of corporate and business law, as well as securities and investment-related law, and is focused on bringing that experience to his clients through excellent legal work and strong, lasting client relationships. 

Ken continuously performs complex securities-based legal work for his clients, including Initial Public Offerings accomplished through the filing of S-1 Registration Statements, and continued assistance to these public companies as securities counsel, whereby he provides legal advice and drafts all subsequent documents required to be filed by public entities.  Such documents include quarterly and annual reports, FINRA and DTC filings, Rule 144 and "Non-Shell" opinion letters and subsequent offering documents on Forms S-3 and S-8. Additionally, Ken has negotiated and drafted all necessary documents for numerous mergers and acquisitions.  Ken also manages the restructuring of companies, including change of ownership, name and stock symbol change, and all required post merger filings.  


Pepperdine University School of Law J.D. 

Hope College B.A. Cum Laude

Contact Us

Please feel free to contact us by phone, mail, or email.  We look forward to solving all of the legal problems you may have.    

Bart and Associates, LLC

1213 Culbreth Drive, Suite 346, Wilmington, North Carolina 28405, United States

Phone: (720)-226-7511 Fax: (720)-528-7765 Email:

Get in Touch!