Stephanie 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.
Stephanie Hartmann, who also goes by Stephanie Elise Hartmann, Stephanie Hartmann, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1994. Stephanie had 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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2025 - November 18, 2025
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
February 19, 2025 - November 18, 2025
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
April 13, 2021 - February 5, 2025
FOCUS FINANCIAL
April 8, 2021 - January 31, 2025
OSAIC WEALTH, INC.
October 2, 2017 - April 17, 2019
MORGAN STANLEY
June 27, 2017 - April 17, 2019
MORGAN STANLEY
August 5, 2013 - May 16, 2016
SOUZA BARROS SECURITIES, INC
January 10, 2012 - October 29, 2012
ITA FINANCIAL SERVICES, LLC
September 22, 2010 - September 22, 2011
STONEX INTERNATIONAL ADVISORS INC
February 2, 2009 - September 22, 2011
STONEX INTERNATIONAL SECURITIES INC.
October 29, 2008 - December 5, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 27, 2008 - December 5, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 4, 2007 - July 18, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - July 18, 2008
MORGAN STANLEY & CO. LLC
June 19, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
December 14, 2001 - October 6, 2004
WYCHE SECURITIES, INC.
May 10, 1999 - November 16, 1999
GLOBAL CAPITAL SECURITIES CORPORATION
February 19, 1998 - May 17, 1999
GILFORD SECURITIES INCORPORATED
March 13, 1996 - March 17, 1998
CHICAGO CAPITAL, INC.
November 17, 1994 - January 15, 1996
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Primary Firm SEC Registration
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
CRD#: 42941 / SEC#: 801-80809, 8-50082
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 82TO
Date: 2/19/2025
Limited Representative-Private Securities OfferingsSeries 6TO
Date: 2/19/2025
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/20/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 5/3/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
CRD#: 42941 / SEC#: 801-80809, 8-50082
Contact information
SEC notice filing (38 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,500 |
| AUM (Assets Under Management) | $ 668,581,099 |
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.
