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Wade Phillip Hartman

Mml Investors Services, LLC

Belmont, NC

Shelby, NC

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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-10-22
  • NC RA
    APPROVED
    Since 2024-10-22

Branch Locations

Belmont, NC • United States

523 S Dekalb St, Shelby, NC 28150 • 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
OrganizationCityStateFromTo
Mass Mutual Life Insurance Co Shelby NC 07/2016 03/2018
Mml Investors Services, Llc Shelby NC 03/2017 03/2018
The Vanguard Group, Inc. Charlotte NC 05/2018 10/2024
Mml Investors Services, Llc Charlotte NC 10/2024 Present
Massmutual Life Insurance Company Charlotte NC 10/2024 Present
  • 07/2016 → 03/2018
    Mass Mutual Life Insurance Co
    Shelby, NC
  • 03/2017 → 03/2018
    Mml Investors Services, Llc
    Shelby, NC
  • 05/2018 → 10/2024
    The Vanguard Group, Inc.
    Charlotte, NC
  • 10/2024 → Present
    Mml Investors Services, Llc
    Charlotte, NC
  • 10/2024 → Present
    Massmutual Life Insurance Company
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-12-14
S63 Uniform Securities Agent State Law Examination 2015-12-17
  • S65 Uniform Investment Adviser Law Examination
    2017-12-14
  • S63 Uniform Securities Agent State Law Examination
    2015-12-17
Designations
Other Names
  • Wade Hartman
  • Wade P Hartman

View on SEC IAPD

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