James Adrian 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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2012-02-02
IN	RA	APPROVED	2008-05-22

TX RA
APPROVED_RES

Since 2012-02-02
IN RA
APPROVED

Since 2008-05-22

Branch Locations

Carmel, IN • 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	Carmel	IN	05/2008	Present

05/2008 → Present

Lpl Financial Llc

Carmel, IN

Previous Registrations

2006-02-15 → 2008-05-27

New England Securities

Indianapolis, IN
1998-12-01 → 2006-01-31

Osaic Fa, Inc.

Warsaw, IN

Indianapolis, IN

Cincinnati, OH

Other Businesses

1. 12/28/2022 - RHF Financial, Inc. - Not Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date - 01/02/2023 - 10 Hours Per Month/0 Hours During Securities Trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1992-12-07

S63 Uniform Securities Agent State Law Examination

1992-12-07

Other Names

Jim Hartman
James Hartman
James A Hartman
Jim Hartman
James A Hartman

View on SEC IAPD