Richard Allen Hartman

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2014-04-17
TX	RA	APPROVED_RES	2009-09-21

PA RA
APPROVED

Since 2014-04-17
TX RA
APPROVED_RES

Since 2009-09-21

Branch Locations

300 Conshohocken State Road Suite 400, West Conshohocken, PA 19428 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Raymond James & Associates	Philadelphia	PA	09/2006	Present

09/2006 → Present

Raymond James & Associates

Philadelphia, PA

Other Businesses

(1)Name of Business: n/a Address: 152 Kenilworth , Newtown Square, PA, 19073, United States Activity Type: Other Position/Title: Other Investment Related: Yes Start Date: 08/04/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: In order to qualify for the mortgage, I agreed to help my daughter buy the home by cosigning the note. I also appear on the deed. My daughter will live in the home with her son { my grandson}. I will help her with expenses if necessary. No cash flow for m

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-07-09

S63 Uniform Securities Agent State Law Examination

1996-07-09

Other Names

Richard A Hartman

View on SEC IAPD