Timothy N. Hartman
Professional summary
Timothy Neal Hartman was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Timothy Neal Hartman was a registered financial advisor .
Timothy is a previously registered financial advisor and started their career in finance in 1995. Timothy had worked at 6 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2007 - July 16, 2009
WELLS FARGO INVESTMENTS, LLC
December 6, 2007 - July 16, 2009
WELLS FARGO INVESTMENTS, LLC
June 13, 2005 - December 7, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 3, 2004 - December 7, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 31, 2000 - December 14, 2004
U.S. BANCORP INVESTMENTS, INC.
January 4, 1999 - May 12, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 1996 - January 13, 1998
UNITED PACIFIC SECURITIES, INC.
June 13, 1995 - October 22, 1996
MORGAN STANLEY DW 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
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
Red Flags
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