SH
Stephanie E. Hartmann
THE OAK RIDGE FINANCIAL SERVICES GROUP
Golden Valley, MN 55416-1089
Some features on this profile are disabled
CRD#: 2302405
SH
Professional summary
Stephanie Elise Hartmann, who also goes by Stephanie Elise Hartmann, Stephanie Hartmann, is a registered financial advisor currently at THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. located in Golden Valley, Minnesota.
Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Stephanie has worked at 16 firms and has passed the Series 66, Series 65, Series 63, Series 82TO, Series 6TO, Series 52TO, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 10, Series 4, Series 9, Series 24, Series 53 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephanie Elise Hartmann | Stephanie Hartmann
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
FOCUS FINANCIAL-RIA POSITION: Compliance Specialist NATURE: Corporation/Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 04/26/2021 ADDRESS: 1300 Godward St NE, Minneapolis MN 55413, United States DESCRIPTION: Supervision
CRS (Client Relationship Summary) - RIA
Click below to view Stephanie Elise Hartmann's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephanie Elise Hartmann's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 19, 2025 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 701 Xenia Avenue South Suite 100, Golden Valley, MN 55416-1089RIA
BD
CRD#: 42941
Golden Valley, MN
Current
February 19, 2025 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089RIA
BD
CRD#: 42941
Golden Valley, MN
Past
April 13, 2021 - February 5, 2025
FOCUS FINANCIAL
RIA
CRD#: 116140
MINNEAPOLIS, MN
Past
April 8, 2021 - January 31, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
MINNEAPOLIS, MN
Past
October 2, 2017 - April 17, 2019
MORGAN STANLEY
RIA
CRD#: 149777
BOZEMAN, MT
Past
June 27, 2017 - April 17, 2019
MORGAN STANLEY
BD
CRD#: 149777
BOZEMAN, MT
Past
August 5, 2013 - May 16, 2016
SOUZA BARROS SECURITIES, INC
BD
CRD#: 149032
MIAMI, FL
Past
January 10, 2012 - October 29, 2012
ITA FINANCIAL SERVICES, LLC
BD
CRD#: 38649
MIAMI, FL
Past
September 22, 2010 - September 22, 2011
STONEX INTERNATIONAL ADVISORS INC
RIA
CRD#: 153799
MIAMI, FL
Past
February 2, 2009 - September 22, 2011
STONEX INTERNATIONAL SECURITIES INC.
BD
CRD#: 146667
MIAMI, FL
Past
October 29, 2008 - December 5, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
NAPLES, FL
Past
October 27, 2008 - December 5, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
NAPLES, FL
Past
October 4, 2007 - July 18, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
FT. LAUDERDALE, FL
Past
April 2, 2007 - July 18, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
FT. LAUDERDALE, FL
Past
June 19, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
FT. LAUDERDALE, FL
Past
December 14, 2001 - October 6, 2004
WYCHE SECURITIES, INC.
BD
CRD#: 40772
CORVALLIS, MT
Past
May 10, 1999 - November 16, 1999
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
Past
February 19, 1998 - May 17, 1999
GILFORD SECURITIES INCORPORATED
BD
CRD#: 8076
NEW YORK, NY
Past
March 13, 1996 - March 17, 1998
CHICAGO CAPITAL, INC.
BD
CRD#: 39274
CHICAGO, IL
Past
November 17, 1994 - January 15, 1996
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Minnesota(2/19/2025)
IAR
Minnesota(2/19/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 2/19/2025
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 6TO
Date: 2/19/2025
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/20/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/3/1999
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
701 Xenia Ave. South, Suite 100 Suite 100, Golden Valley, MN 55416-1089
Mailing Address
701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089
Phone number
(763) 923-2200
Established
Minnesota since 03/13/1997
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
60
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,501 |
| AUM (Assets Under Management) | $ 456,416,227 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
