Gregg A. Hartman

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2012-06-25
FL	RA	APPROVED	2007-02-09
OH	RA	APPROVED	2007-02-09

TX RA
APPROVED_RES

Since 2012-06-25
FL RA
APPROVED

Since 2007-02-09
OH RA
APPROVED

Since 2007-02-09

Branch Locations

Port Clinton, OH • United States

18500 Lake Road Suite 400, Rocky River, OH 44116 • 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 No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Mcdonald Investments Inc.	Cleveland	OH	05/1999	Present
Ubs Financial Services Inc.	Rocky River	OH	02/2007	Present

05/1999 → Present

Mcdonald Investments Inc.

Cleveland, OH
02/2007 → Present

Ubs Financial Services Inc.

Rocky River, OH

Previous Registrations

1999-05-14 → 2007-02-09

Keybanc Capital Markets Inc.

Cleveland, OH

Rocky River, OH

Rocky River, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-05-24
S63	Uniform Securities Agent State Law Examination	1992-07-28

S65 Uniform Investment Adviser Law Examination

1995-05-24
S63 Uniform Securities Agent State Law Examination

1992-07-28

Other Names

Gregg Hartman
Gregg Alan Hartman

View on SEC IAPD