Charles E. 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.
Charles Evans Hartman JR, who also goes by Charles E Hartman Jr, Chick Hartman, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1971. Charles had worked at 7 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 1994 - March 6, 1995
SIGMA FINANCIAL CORPORATION
August 30, 1991 - April 8, 1993
SOVEREIGN-AMERICAN SECURITIES, INC.
December 8, 1988 - November 14, 1990
MCCARLEY AND ASSOCIATES, INC.
September 15, 1983 - December 19, 1987
CUYAHOGA SECURITIES CORPORATION
June 18, 1982 - January 1, 1988
GERSTEN SECURITIES CORPORATION
May 1, 1973 - December 14, 1979
HOLT & HARTMAN ASSOCIATES, INC
November 1, 1971 - June 15, 1973
MOYLAN & CO
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 1
Date: 10/18/1971
Registered Representative ExaminationF04
Date: 3/5/1973
Financial Principal ExaminationSeries 00
Date: 2/12/1973
General Securities Principal ExaminationCurrent Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
Red Flags
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