Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Hartman has been a registered representative since July 1993, and has worked with Merrill Lynch, Pierce, Fenner & Smith Inc. since November 2007. James has been registered with the Financial Industry Regulatory Authority (FINRA) since 1993. James has worked with several firms, including Citigroup Global Markets Inc. and Legg Mason Wood Walker, Incorporated. James Hartman is licensed to sell securities in numerous states. James also works with numerous clients, including high-net-worth individuals, corporations, and charitable organizations. James is a financial professional that specializes in providing investment advisory services. James also has experience in providing performance measurement reports, allocation modeling, IPS, research reports and services, pension consulting, and educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MD
10/10/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ANNAPOLIS MD)
MD
02/21/2006 - 11/15/2007
CITIGROUP GLOBAL MARKETS INC. (ANNAPOLIS MD)
MD
07/19/1993 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
IA
Issued 7/23/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/20/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/15/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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