Michael T. Hartley
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.
Michael Thomas Hartley, AIF®, CFP®, who also goes by Mike Hartley, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2003 - December 31, 2005
ALLIED ADVISORS LLC
November 18, 1994 - December 31, 2025
DALE K. EHRHART, INC.
November 14, 1994 - September 13, 2010
DALE K. EHRHART, INC.
March 4, 1987 - March 3, 1995
WACHOVIA SECURITIES, INC.
June 26, 1986 - March 13, 1987
RAYMOND JAMES & ASSOCIATES, 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
Series 28
Date: 6/22/1994
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
