Kristin Lee 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 : 7691
  Annapolis, MD
• 09/2009 → Present
  Bank Of America, Na
  Annapolis, MD

Previous Registrations

• 2006-12-16 → 2007-11-15
  Citigroup Global Markets Inc.
  Annapolis, MD
  New York, NY
  Annapolis, MD

Other Businesses

(II)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ANNAPOLIS YACHT CHARTERS INVESTMENT RELATED: N ADDRESS OF BUSINESS: ANNAPOLIS, MARYLAND 21049 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 11/1/2012 NUMBER OF HOURS DEVOTED: 100 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: WE CHARTER TWO OF OUR BOATS TO CLIENTS WHO WANT TO RENT A BOAT I*5830 For profit or not for profit: Name of outside business organization: Elegancia Rental Property in Bonaire Investment related: Address of business: Krajendijk, 0 Nature of business: , Position, title, association: , Start date of relationship: 1/23/2009 Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0 Duties: I*131132 For profit or not for profit: Non-Profit Organization Name of outside business organization: Kristin Hartman Private Foundation Investment related: N Address of business: Annapolis, Maryland 21409 Nature of business: Charitable Organization, Position, title, association: Officer, Start date of relationship: 5/6/2020 Number of hours devoted: 5 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: We are trying to set up a private foundation so that we can support charities we believe in. This is solely for donating our own assets to be given to various charities.

Exams

• S66 Uniform Combined State Law Examination
  1998-12-28

Designations

• Certified Financial Planner