Janine Hartman

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-01-30

TX RA
APPROVED

Since 2023-01-30

Branch Locations

17802 W Interstate 10, San Antonio, TX 78257 • United States

4281 Esplanade Pl, Flower Mound, TX 75028 • United States

1 Cowboys Way, Frisco, TX 75034 • United States

Prosper, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Jp Morgan Securities, Llc	Plano	TX	06/2018	03/2019
Jp Morgan Chase	Plano	TX	08/2012	06/2018
Fidelity Investments	Westlake	TX	11/2020	12/2020
Intouch Credit Union	Plano	TX	03/2019	10/2020
Goldman Sachs	Richardson	TX	01/2021	03/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Frisco	TX	10/2022	Present
Advancial Federal Credit Union	Dallas	TX	03/2022	10/2022

06/2018 → 03/2019

Jp Morgan Securities, Llc

Plano, TX
08/2012 → 06/2018

Jp Morgan Chase

Plano, TX
11/2020 → 12/2020

Fidelity Investments

Westlake, TX
03/2019 → 10/2020

Intouch Credit Union

Plano, TX
01/2021 → 03/2022

Goldman Sachs

Richardson, TX
10/2022 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Frisco, TX
03/2022 → 10/2022

Advancial Federal Credit Union

Dallas, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-01-23
S63	Uniform Securities Agent State Law Examination	2020-11-16

S66 Uniform Combined State Law Examination

2023-01-23
S63 Uniform Securities Agent State Law Examination

2020-11-16

Other Names

Janine Williams