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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2024-09-13 |
Branch Locations
10691 East Carter Road Suite 105, Traverse City, MI 49684 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wedbush Securities Inc. | Traverse City | MI | 05/2015 | 09/2024 |
| Equitable Advisors, Llc | New York | NY | 09/2024 | Present |
(1)Trustee for brother, John L. Hartl, III Supplemental Needs Irrevocable Trust UAD 05/09/13, start date 05/09/13.(2)Trustee for brother, David T. Hartl, Supplemental Needs Irrevocable Trust UAD 05/09/2013, start date 05/09/13.(3)CMT Association, New York, NY. Professional Organization. Editor/Member of Review Committee; review articles submitted for publication in the CMT Association Journal of Technical Analysis. Start date 07/2019, 3-4 hours per year, not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-24 |
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