Cathleen A. Hartmann
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.
Cathleen Anne Hartmann, who also goes by Cathleen Anne Bresnahan, Cathleen Hartman, was a registered financial professional .
Cathleen is a previously registered financial professional and started their career in finance in 1987. Cathleen had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2011 - June 25, 2015
NATIONAL FINANCIAL SERVICES LLC
November 3, 2003 - January 13, 2011
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
October 4, 2001 - August 19, 2002
QUASAR DISTRIBUTORS, LLC
July 25, 2001 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
January 22, 1997 - December 1, 1999
BANKBOSTON INVESTOR SERVICES, INC.
January 28, 1995 - June 5, 1996
UBS FINANCIAL SERVICES INC.
July 6, 1989 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
November 19, 1987 - January 13, 1990
UBS FINANCIAL SERVICES INC.
August 20, 1987 - December 16, 1987
E. F. HUTTON & COMPANY 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 8
Date: 12/14/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
