Douglas K. Hartman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas Keith Hartman was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1982. Douglas had worked at 4 firms and has passed the Series 63, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 1986 - January 23, 1990
ARTHURS, LESTRANGE & COMPANY INCORPORATED
January 24, 1986 - March 5, 1986
P. V. ANDERSON, INC.
February 7, 1983 - May 14, 1985
MAYFAIR SECURITIES, INC.
October 26, 1982 - February 2, 1983
R.C. TOWNE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ARTHURS, LESTRANGE & COMPANY INCORPORATED
CRD#: 54 / SEC#: , 8-36341
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALCO HOLDING, INC. | 100% OWNER | |
| BEAR, LESLIE LEE | PRESIDENT AND DIRECTOR | 1736090 |
| BOVA, MICHAEL PETER | CHAIRMAN AND CEO | 1195169 |
| GINSBERG, SAMUEL CHARLES | DIRECTOR, CROP | 1447356 |
| POGOZELSKI, RICHARD PAUL | SENIOR VICE PRESIDENT, SROP | 368247 |
| SOFIS, GEORGE GEORGE | SENIOR VICE PRESIDENT, TREASURER | 430117 |
| VALOTTA, EILEEN TERESA | CONTROLLER | 866333 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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