Chad Lee Hartman

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:

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

Current Employers

Employment History

• 07/1996 → 08/2023
  Hallmark Cards, Inc.
  Kansas City, KS
• 02/2006 → 03/2026
  Berthel Fisher & Company Financial Services
  Olathe, KS
• 03/2026 → Present
  Lpl Financial Llc
  Olathe, KS
• 09/2023 → Present
  Lta Ii Manufacturing/Debruce Companies
  Ottawa, KS

Previous Registrations

• 2006-03-23 → 2026-03-13
  Berthel, Fisher & Company Financial Services, Inc.
  Cedar Rapids, IA
  Olathe, KS
  Lenexa, KS

Other Businesses

1. 03/2026 - Hartman Financial - DBA for LPL Business (entity for LPL business) - Investment Related - 15 Hrs/Mth - 5 Hrs During Trading - At Reported Business Location(s) - OBA Start Date: 03/10/2026 2. 03/2026 - LTA II Manufacturing/DeBruce Companies - Outside/W-2 Employment - Investment Related - 220 Hrs/Mth - 130 Hrs During Trading - Ottawa, KS 66067 - OBA Start Date: 09/01/2023

Exams

• S66 Uniform Combined State Law Examination
  2006-03-22