SH
Stephen P. Hartmann
LPL ENTERPRISE
Delmar, NY 12054
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CRD#: 2629236
SH
Professional summary
Stephen Patrick Hartmann is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Delmar, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Stephen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. 06/23/2025 - Hartmann Property Mgmt, LLC - Real Estate Rental - Delmar, NY - INV REL - Start Date 01/01/2016 - 5hrs/mth 2. 06/23/2025 - American Marketing assn - Non-Profit Board Member - Albany, NY - NOT INV REL - Start Date 01/01/2020 - 10hrs/mth 3. 06/23/2025 - Hartmann Financial Group, LLC - Business Entity For Tax/Investment Purposes Only - Delmar, NY - NOT INV REL - Start Date 01/01/2016 - 40hrs/mth 4. 06/24/2025-Stephen Hartmann-Financial Professional-Non-Variable Insurance/Insurance Agency-Inv related-At Voorheesville, NY-Start date 06/20/2025-160hrs/mth-160hrs/mth during trading 5. 06/24/2025-Prudential Advisors-Financial Professional-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 06/20/2025-160hrs/mth-160hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Patrick Hartmann's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Patrick 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
June 24, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 2 Howard Place Suite 1, Delmar, NY 12054Office #2: 2 Howard Place Suite 1, Delmar, NY 12054RIA
BD
CRD#: 8733
Delmar, NY
Current
June 24, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 2 Howard Place Suite 1, Delmar, NY 12054RIA
BD
CRD#: 8733
DELMAR, NY
Past
August 23, 2021 - June 25, 2025
ASHTON THOMAS SECURITIES, LLC
RIA
CRD#: 16629
DELMAR, NY
Past
January 27, 2005 - June 25, 2025
ASHTON THOMAS SECURITIES, LLC
BD
CRD#: 16629
DELMAR, NY
Past
January 5, 2000 - September 23, 2004
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
August 24, 1998 - December 31, 1999
LEIGH BALDWIN & CO., LLC
BD
CRD#: 38751
CAZENOVIA, NY
Past
June 24, 1996 - August 25, 1998
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
June 30, 1995 - May 14, 1996
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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
Alabama(7/2/2025)
RR
Connecticut(7/8/2025)
RR
Florida(6/24/2025)
RR
Maryland(7/2/2025)
RR
Missouri(6/24/2025)
RR
New York(6/24/2025)
IAR
New York(6/24/2025)
RR
North Carolina(6/24/2025)
RR
Pennsylvania(6/24/2025)
RR
South Carolina(6/25/2025)
RR
Tennessee(6/25/2025)
RR
Vermont(6/24/2025)
RR
Virginia(6/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
