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Thomas J. Hartfield

Hartfield Financial & Insurance Services, Inc.

Granada Hills, CA

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Current Employers
Hartfield Financial & Insurance Services, Inc.

11856 Balboa Blvd #669, Granada Hills, CA 91344 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-08-14
  • CA RA
    APPROVED
    Since 2025-08-14

Branch Locations

11856 Balboa Blvd #669, Granada Hills, CA 91344 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Hartfield Financial & Insurance Services, Inc. Granada Hills CA 01/1991 Present
Western International Securities, Inc. Pasadena CA 11/2013 12/2019
Other Businesses

Hartfield Financial & Insurance Services, Inc.; Investment-Related; 11856 Balboa Blvd., PMB 669, Granada Hills, CA 91344; President; 01/1991 - Present

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-10-08
S63 Uniform Securities Agent State Law Examination 2003-11-17
  • S66 Uniform Combined State Law Examination
    2019-10-08
  • S63 Uniform Securities Agent State Law Examination
    2003-11-17
Other Names
  • Tom Hartfield
  • Thomas J Hartfield

View on SEC IAPD

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CITIGROUP GLOBAL MARKETS INC. · Grenada Hills, CA
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SCHAUER INVESTMENT MANAGEMENT, INC. · NORTHRIDGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GRANADA HILLS, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Granada Hills, CA
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