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Stephen Thomas Hartman

Schwab Wealth Advisory, Inc.

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About Stephen Thomas Hartman

Stephen Hartman is a financial advisor with Schwab Wealth Advisory, Inc. Stephen has been in the financial industry since 2014. Stephen is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Stephen holds Series 7, Series 63, and Series 66 securities licenses and is licensed to provide financial advice in 27 states. In addition to his experience with Schwab Wealth Advisory, Inc., Stephen has also held previous positions with MORGAN STANLEY and CHARLES SCHWAB & CO., INC. Stephen specializes in providing financial advice to individuals and businesses.

Firm Information

Stephen Hartman is currently registered with Schwab Wealth Advisory, Inc.. Schwab Wealth Advisory, Inc. is an investment advisory firm based in SAN FRANCISCO, CA, United States. The firm provides financial planning and portfolio management services to individuals, businesses, and high-net-worth individuals. They also offer a wrap fee program.
Schwab Wealth Advisory, Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105-1901

Not reported

Assets Under Management

141,801

Total Clients

904

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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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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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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other

Swa program paid by wrap sponsor pursuant to cost plan formula.

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Stephen Hartman’s Registration & Firm History

FL

06/03/2021 - Present

Schwab Wealth Advisory, Inc. (Winter Garden FL)

FL

10/28/2015 - 11/07/2016

MORGAN STANLEY (WINTER PARK FL)

FL

08/01/2014 - 10/15/2015

CHARLES SCHWAB & CO., INC. (ORLANDO FL)

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Licenses & Designations

BOTH

Issued 11/13/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/20/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/31/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Stephen Thomas Hartman.
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