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Caleb Hartmann

Ameriprise Financial Services, LLC

Rockford, IL

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-02-26
IL RA APPROVED 2025-10-23
WI RA APPROVED 2020-11-11
  • TX RA
    APPROVED_RES
    Since 2026-02-26
  • IL RA
    APPROVED
    Since 2025-10-23
  • WI RA
    APPROVED
    Since 2020-11-11

Branch Locations

6870 Rote Rd Ste 102, Rockford, IL 61107-2690 • 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
Edward Jones St Louis MO 10/2017 06/2019
Umpqua Bank Roseburg OR 06/2017 10/2017
Raymond James Hattiesburg MS 03/2016 04/2017
Service Master Medford OR 07/2019 10/2020
Ameriprise Financial Services, Llc Cambridge WI 11/2020 Present
  • 10/2017 → 06/2019
    Edward Jones
    St Louis, MO
  • 06/2017 → 10/2017
    Umpqua Bank
    Roseburg, OR
  • 03/2016 → 04/2017
    Raymond James
    Hattiesburg, MS
  • 07/2019 → 10/2020
    Service Master
    Medford, OR
  • 11/2020 → Present
    Ameriprise Financial Services, Llc
    Cambridge, WI
Previous Registrations
  • 2018-01-03 → 2019-06-20
    Edward Jones
    Sutherlin, OR
    St Louis, MO
    Roseburg, OR
    Medford, OR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-12-28
  • S66 Uniform Combined State Law Examination
    2017-12-28
Other Names
  • Carleigh Jo Hartmann
  • Caleb Joseph Hartmann
  • Caleb J Hartmann

View on SEC IAPD

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Other Investors

JASON JEFFREY WERNER
JENNIFER ELISE LEWIS
ZORANA OKILJ
DAVID RAY FEHRLE
JACK E WHEELER
THOMAS MARTIN WEIGHTMAN
EMILY MANEY VANHILLE
ERICH LEE VARGAZ

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · ROCKFORD, IL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROCKFORD, IL
AMERIPRISE FINANCIAL SERVICES, LLC · Rockford, IL
STACKSTONE WEALTH, LLC · ROCKFORD, IL
EDWARD JONES · ROCKFORD, IL
STATE FARM INVESTMENT MANAGEMENT CORP. · Rockford, IL
FIFTH THIRD SECURITIES, INC. · ROCKFORD, IL
LPL FINANCIAL LLC · ROCKFORD, IL

More in Rockford, IL

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