Michael G. 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.
Michael Gordon Hartman, who also goes by Michael G Hartman, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 82, Series 79 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
March 14, 2012 - April 13, 2015
CRC-IB
February 27, 2001 - January 17, 2002
DEUTSCHE BANK SECURITIES INC.
June 14, 1999 - April 7, 2000
DEUTSCHE BANK SECURITIES INC.
October 7, 1997 - June 14, 1999
DB ALEX. BROWN LLC
May 6, 1996 - August 1, 1997
PRUDENTIAL EQUITY GROUP, LLC
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
CRC-IB
CRD#: 158736 / SEC#: , 8-68918
Contact information
FINRA licenses (36 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRC HOLDINGCO, LLC | HOLDING COMPANY/OWNER | |
| KNAPP, NICHOLAS JE | PRESIDENT | 5419499 |
| MCKENNA, CONOR WILLIAM | SENIOR MANAGING DIRECTOR | 4355571 |
| DURDEN, GARY LEE | MANAGING DIRECTOR | 6624221 |
| VON OESEN, BRITTA BENNETT | MANAGING DIRECTOR | 5532329 |
| DURDEN, GARY LEE | CHIEF COMPLIANCE OFFICER | 6624221 |
| HOPKINS, THOMAS JOHN | FINOP, PPO, PFO | 1835087 |
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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