Graham Chambers Hartley

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-05-15

TX RA
APPROVED

Since 2020-05-15

Branch Locations

Houston, TX • 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

Organization	City	State	From	To
Lpl Financial Llc	Houston	TX	06/2009	Present
Intrua Financial Llc	Houston	TX	02/2016	Present

06/2009 → Present

Lpl Financial Llc

Houston, TX
02/2016 → Present

Intrua Financial Llc

Houston, TX

Previous Registrations

2016-02-12 → 2020-04-15

Intrua Financial

Houston, TX
2005-07-06 → 2008-05-14

Invesco Aim Private Asset Management, Inc.

Houston, TX

Other Businesses

1. 2/2/2015 - THE HARTLEY GROUP LLC - Investment Related - At Reported Business Location(s) - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - STARTED 02/01/2015 - INVESTMENT RELATED - 110 Hours Per Month During Securities Trading. 2. 5/18/2020 - Goose Creek Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 05/15/2020 - 160 Hours Per Month/120 Hours During Securities Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-03-25

S63 Uniform Securities Agent State Law Examination

1996-03-25

View on SEC IAPD