Alan Jeffrey Hartstone

Current Employers

Employment History

• 05/1994 → Present
  Ascent Technology, Inc.
  Cambridge, MA
• 10/1998 → 09/2025
  Avantax Investment Services, Inc.
  Boston, MA
• 02/2014 → 09/2025
  Avantax Insurance Agency Llc
  Boston, MA
• 05/1994 → Present
  Hartstone Business And Financial Services
  Boston, MA
• 02/2008 → 11/2025
  Blue Cross Blue Shield
  Boston, MA
• 05/2007 → Present
  Guardian Life Insurance
  Framingham, MA
• 05/1994 → Present
  Ascent Technology, Inc.
  Boston, MA
• 05/2007 → Present
  Guardian Life Insurance
  Framingham, MA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Boston, MA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2000-01-01 → 2025-09-05
  Avantax Advisory Services
  Boston, MA
  Mashpee, MA

Other Businesses

1) Guardian Life Insurance~'NIR'~1101 Worcester Road~Framingham~MA~01701~Insurance Agent~Agent~5/7/2007~2hrs~2hrs~This is an insurance company that offers whole life, term life, and disability insurance for which approximately 50% of my time related to this particular business is spent selling these products and approximately 50% is related to answering client questions and doing illustrations. 2) GRADIENT FINANCIAL POSITION: Agent NATURE: Gradient is an IMO and they are the sales arm for independent agents to sell annuity products via Sentinel Security Life and SILAC Insurance Company. Through Gradient I have been appointed with Sentinel and SILAC. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/13/2021 ADDRESS: 1 Avery Street, Unit 15F, Boston MA 02111, DESCRIPTION: I have the ability to provide access for my clients to Sentinel and SILAC annuity products as Avantax does not have selling agreements with these entities. 3) ASCENT TECHNOLOGY, INC. POSITION: Personal/Business Services NATURE: Computer Consulting/Services/Development INVESTMENT RELATED: No NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 90 START DATE: 05/16/1994 ADDRESS: 101 Federal Street, 19th Floor, Boston MA 02110, DESCRIPTION: I am the company's Chief Financial Officer. I perform accounting, tax, contract admin, and HR functions primarily. 4) Hartstone Entertainment, LLC; Partner/General Partner; This business is an LLC that holds a minority ownership interest in a Double "AA" professional Baseball Team located in Richmond, VA; NIR; 0; 01/20/2005; 1 Avery Street , Unit 15F Boston MA 02111; I am the Manager of Hartstone Entertainment LLC. Approximately 95% of my time for this business activity is associated with handling the accounting and providing the requested information to the tax preparer each year who does the taxes for the LLC. Approximately 5% of my time associated with this business activity is associated with listening to or understanding new business opportunities associated with professional sports. 5) NAME OF OTHER BUSINESS: HARTSTONE BUSINESS AND FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/1994; POSITION/TITLE/RELATIONSHIP: OWNER/FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: DBA FOR ACCOUNTING SERVICES, TAX PREPARATION AND FINANCIAL SERVICES; 6) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 06/2003; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-09-14
• S63 Uniform Securities Agent State Law Examination
  1996-02-06

Designations