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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Hartman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. James is a registered investment advisor with both the state of Maryland and the state of Florida. James has been in the financial industry since 1993 and has a long history of working with clients in the Annapolis area. James's experience in the financial industry is extensive and includes working with a variety of clients, including high-net-worth individuals, corporations, and insurance companies. James is also a registered representative with FINRA and is licensed to sell securities in a number of states. James is a Series 7, Series 63, and Series 65 licensed professional. James's clients appreciate his dedication to providing personalized financial advice that is tailored to their individual needs.
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 07/23/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/20/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/1993
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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