Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Hartman is a financial professional with over 25 years of experience in the industry. Douglas has held positions with several firms, including J.P. Morgan Securities LLC, RBC Capital Markets Corporation, and Citigroup Global Markets Inc. Douglas is currently registered with Jefferies LLC. Douglas holds several licenses including Series 7, 24, 52TO, 53, 63, 79TO and SIE. Douglas is licensed in all 50 states and the District of Columbia.
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.
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.
1
2
TX
06/05/2020 - Present
Jefferies LLC (DALLAS TX)
TX
08/24/2010 - 06/01/2020
J.P. MORGAN SECURITIES LLC (DALLAS TX)
TX
05/05/2009 - 05/28/2010
RBC CAPITAL MARKETS CORPORATION (DALLAS TX)
NY
01/21/2005 - 05/11/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
TX
09/09/1997 - 02/03/2005
FIRST SOUTHWEST COMPANY (DALLAS TX)
BC
Issued 08/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/28/2015
Series 24 - General Securities Principal Examination
BC
Issued 08/05/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/11/1997
Series 7 - General Securities 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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Douglas Hartman is the right advisor for you? Invested Better is here to help.
