Patrick W. 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.
Patrick William Hartman was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1996. Patrick had worked at 3 firms and has passed the Series 63, 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
November 7, 2002 - March 26, 2012
HBH ADVISORS, LLC
April 11, 2001 - April 10, 2002
ARETE WEALTH MANAGEMENT, LLC
March 26, 1996 - November 22, 2000
CBIZ MERGERS & ACQUISITIONS GROUP, 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
Current Firm
HBH ADVISORS, LLC
CRD#: 121464 / SEC#: , 8-65420
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROCK ISLAND CAPITAL, LLC | SOLE MEMBER | |
| HARTMAN, PATRICK WILLIAM | CO-MANAGER | 2501769 |
| MARTIN, PATRICK JAMES | CO-MANAGER/CHIEF COMPLIANCE OFFICER | |
| NUGENT, MICHAEL EDWARD | CHEIF FINANCIAL OFFICER |
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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