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Stephen Patrick Hartmann

Ashton Thomas Securities, LLC

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About Stephen Patrick Hartmann

Stephen Hartmann is a registered representative of Ashton Thomas Securities, LLC, based in Rochester, New York. Stephen has been in the securities industry since 1995. Stephen holds several licenses and designations, including Series 6, 7, 24, 63, and 65. Stephen is experienced in providing financial planning and portfolio management services to individuals. Stephen also works for Hartmann Financial Group where Stephen provides tax preparation services.

Firm Information

Stephen Hartmann is currently registered with Ashton Thomas Securities, LLC. Ashton Thomas Securities, LLC is a Limited Liability Company, formed on January 8, 2024, and registered with the SEC. Based in Rochester, NY, the firm offers a range of financial advisory services including financial planning, pension consulting, and portfolio management for individuals. They are licensed to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm manages over $409 million in assets and has a team of over 50 licensed professionals.
Ashton Thomas Securities, LLC

200 CANAL VIEW BLVD.

ROCHESTER, NY 14623

$409.08M

Assets Under Management

Not reported

Total Clients

43

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Stephen Hartmann’s Registration & Firm History

NY

08/23/2021 - Present

Ashton Thomas Securities, LLC (ROCHESTER NY)

CA

01/05/2000 - 09/23/2004

ESSEX NATIONAL SECURITIES, INC. (NAPA CA)

NY

08/24/1998 - 12/31/1999

LEIGH BALDWIN & CO., LLC (CAZENOVIA NY)

NY

06/24/1996 - 08/25/1998

NYLIFE SECURITIES INC. (NEW YORK NY)

NJ

06/30/1995 - 05/14/1996

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

IA

Issued 09/11/2007

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/31/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/02/2005

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/28/1999

Series 7 - General Securities Representative Examination

BC

Issued 06/19/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Stephen Patrick Hartmann. Review regulatory record here.
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