Stephen Thomas Hartman

Current Employers

Schwab Wealth Advisory, Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2021-07-16
TX	RA	APPROVED_RES	2021-06-03

FL RA
APPROVED

Since 2021-07-16
TX RA
APPROVED_RES

Since 2021-06-03

Branch Locations

420 South Orange Avenue, Orlando, FL 32801 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Morgan Stanley Private Bank, National Association	New York	NY	10/2015	11/2016
Charles Schwab & Co., Inc.	Orlando	FL	11/2016	Present
Schwab Private Client Investment Advisory	Orlando	FL	06/2018	05/2020
Schwab Wealth Advisory, Inc.	Orlando	FL	05/2021	Present

10/2015 → 11/2016

Morgan Stanley Private Bank, National Association

New York, NY
11/2016 → Present

Charles Schwab & Co., Inc.

Orlando, FL
06/2018 → 05/2020

Schwab Private Client Investment Advisory

Orlando, FL
05/2021 → Present

Schwab Wealth Advisory, Inc.

Orlando, FL

Previous Registrations

2018-06-28 → 2020-05-06

Schwab Wealth Advisory, Inc.

Orlando, FL
2015-11-19 → 2016-11-07

Morgan Stanley

Winter Park, FL

Other Businesses

12/01/2012 - BEAR Residential Construction - Construction - Residential/Commercial/Office - Associate - Zellwood, Florida - Assisting my brother-in-law in repairing/remodeling homes in the greater Orlando area. Projects are mainly kitchen and bathroom remodels

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-11-13
S63	Uniform Securities Agent State Law Examination	2014-10-20

S66 Uniform Combined State Law Examination

2015-11-13
S63 Uniform Securities Agent State Law Examination

2014-10-20

Other Names

Stephen T Hartman
Stephen Thomas Hartman
Stephen Thomas Hartman
Beau Hartman

View on SEC IAPD