Leah A. 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.
Leah Ann Hartman, who also goes by Leah Hartman, was a registered financial professional .
Leah is a previously registered financial professional and started their career in finance in 1988. Leah had worked at 4 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2013 - January 12, 2018
ARCADIA SECURITIES, LLC
March 28, 1992 - September 26, 2011
CRT CAPITAL GROUP LLC
March 3, 1992 - February 9, 2006
CRT CAPITAL GROUP LLC
February 28, 1990 - December 17, 1990
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
October 19, 1988 - December 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ARCADIA SECURITIES, LLC
CRD#: 44656 / SEC#: , 8-50764
Contact information
FINRA licenses (40 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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