Rodney 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.
Rodney Kim Hartman was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1985. Rodney had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2009 - December 20, 2017
PERENNIAL CAPITAL MANAGEMENT, LLC
April 29, 2003 - August 25, 2003
MORGAN STANLEY DW INC.
April 9, 2003 - August 25, 2003
MORGAN STANLEY DW INC.
July 31, 1993 - January 30, 2002
CITIGROUP GLOBAL MARKETS INC.
April 5, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
March 1, 1988 - April 15, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 1985 - March 15, 1988
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Exams
Current Firm
PERENNIAL CAPITAL MANAGEMENT, LLC
CRD#: 149249 / SEC#:
Contact information
Red Flags
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