Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Erik Hartmann has been in the financial industry since August 20, 1991. Charles is currently registered with RBC Capital Markets, LLC and has offices in Sewickley, Erie, Canonsburg, and Pittsburgh, Pennsylvania. Charles has a total of 35 state registrations, including Pennsylvania, New York, and Texas. Charles also holds the Series 3, 6, 7, 9, 10, 63, and 65 licenses. In addition to his current registration with RBC Capital Markets, LLC, Charles was previously registered with Citigroup Global Markets Inc., Lehman Brothers Inc., and Pruco Securities Corporation. Charles Erik Hartmann provides financial services for a wide range of clients including high-net-worth individuals, insurance companies, charitable organizations, pension and profit sharing plans, corporations, and individuals. Charles Erik Hartmann specializes in public and private employee benefit plans, endowment funds, foundations, family trusts, and various capital/operating funds.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
PA
03/14/2020 - Present
RBC Capital Markets, LLC (SEWICKLEY PA)
NY
07/31/1993 - 04/27/2006
CITIGROUP GLOBAL MARKETS INC. (ROCHESTER NY)
NY
04/08/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
06/20/1991 - 02/05/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
06/20/1991 - 02/05/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 04/27/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/23/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/10/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2011
Series 3 - National Commodity Futures Examination
BC
Issued 04/07/1992
Series 7 - General Securities Representative Examination
BC
Issued 06/19/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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