James B Hartman

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2007 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Annapolis, MD
• 12/2009 → Present
  Bank Of America, N.A.
  Annapolis, MD

Previous Registrations

• 2006-02-21 → 2007-11-15
  Citigroup Global Markets Inc.
  Annapolis, MD
  New York, NY
  Annapolis, MD
• 1995-02-15 → 2006-02-21
  Legg Mason Wood Walker, Incorporated
  Annapolis, MD

Other Businesses

I*58566 For profit or not for profit: For-Profit Organization Name of outside business organization: Annapolis Yacht Charters LLC Investment related: No Address of business: Annapolis, Maryland 21409 Nature of business: LLC Position, title, association: Officer, Start date of relationship: 11/1/2012 Number of hours devoted: 200 hours Annually Number of hours devoted during trading hours: 0 Duties: Recreational yacht charter business. AYC will make its vessel's available for charter directly from AYC as well as other yacht charter companies in need of a vessel to meet their client's needs. I*5827 FOR PROFIT OR NOT FOR PROFIT: NAME OF OUTSIDE BUSINESS ORGANIZATION: JAMES AND K HARTMAN INVESTMENT RELATED: ADDRESS OF BUSINESS: KRALENDIJK, 0 NATURE OF BUSINESS: , POSITION, TITLE, ASSOCIATION: , START DATE OF RELATIONSHIP: 1/23/2009 NUMBER OF HOURS DEVOTED: 3 HOURS NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: I*131133 For profit or not for profit: Non-Profit Organization Name of outside business organization: James Hartman Private Foundation Investment related: No Address of business: Annapolis, Maryland 21409 Nature of business: Charitable Organization, Position, title, association: Director Start date of relationship: 5/6/2020 Number of hours devoted: 5 hours Annually Number of hours devoted during trading hours: 0 Duties: My wife and I are trying to start a foundation in lieu of a donor advised fund to make contributions to various charities.

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-07-23
• S63 Uniform Securities Agent State Law Examination
  1993-07-20