Kathleen E. Hartman

GREENLEAF FINANCIAL GROUP

Carmel, IN 46032-3022

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CRD#: 2759014

Professional summary

Kathleen Elizabeth Hartman, CFA, CFP® is a registered financial advisor currently at GREENLEAF FINANCIAL GROUP located in Carmel, Indiana.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Kathleen has worked at 4 firms and has passed the Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Elizabeth Hartman's CRS (Customer Relationship Summary).

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®

CFA

Chartered Financial Analyst

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

February 6, 2006 - Present

GREENLEAF FINANCIAL GROUP

Office #1: 13295 Illinois St Suite 322, Carmel, IN 46032-3022

RIA

CRD#: 137933

Carmel, IN

Past

March 19, 2002 - March 8, 2006

MORNINGSTAR INVESTMENT SERVICES LLC

CRD#: 112525

CHICAGO, IL

Past

February 26, 2002 - March 8, 2006

MORNINGSTAR INVESTMENT SERVICES LLC

RIA

CRD#: 112525

CHICAGO, IL

Past

July 17, 2000 - August 21, 2000

MASON SECURITIES, INC.

CRD#: 12967

RESTON, VA

Past

September 11, 1996 - February 27, 1997

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

PORTLAND, OR

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".

GREENLEAF FINANCIAL GROUP

GREENLEAF FINANCIAL GROUP | GREENLEAF FINANCIAL GROUP, LLC

CRD#: 137933 / SEC#: 801-117775

RIA

Registered Investment Advisory firm - (12/13/2019 Approved)

California

Registered Investment Advisory firm - (2/1/2020 Terminated)

Indiana

Registered Investment Advisory firm - (1/10/2020 Terminated)

New York

Registered Investment Advisory firm - (11/13/2019 Terminated)

Texas

Registered Investment Advisory firm - (11/13/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(3/16/2006)

IAR

Indiana
(2/6/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/6/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/13/2000

General Securities Representative Examination

Current Firm

GREENLEAF FINANCIAL GROUP

GREENLEAF FINANCIAL GROUP | GREENLEAF FINANCIAL GROUP, LLC

CRD#: 137933 / SEC#: 801-117775

RIA

Registered Investment Advisory firm - (12/13/2019 Approved)

California

Registered Investment Advisory firm - (2/1/2020 Terminated)

Indiana

Registered Investment Advisory firm - (1/10/2020 Terminated)

New York

Registered Investment Advisory firm - (11/13/2019 Terminated)

Texas

Registered Investment Advisory firm - (11/13/2019 Terminated)

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Contact information

Main Address

13295 Illinois St Suite 322, Carmel, IN 46032-3022

Mailing Address

Phone number

(317) 993-3384

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREENLEAF FINANCIAL GROUP ADV PART 2A AND 2B MARCH 2025 (3/5/2025)

Regulatory assets under management

Total Number of Accounts	476
AUM (Assets Under Management)	$ 156,226,772

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.

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Kathleen E. Hartman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Elizabeth Hartman's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREENLEAF FINANCIAL GROUP

MORNINGSTAR INVESTMENT SERVICES LLC

MORNINGSTAR INVESTMENT SERVICES LLC

MASON SECURITIES, INC.

PAULSON INVESTMENT COMPANY LLC

Primary Firm SEC Registration

GREENLEAF FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 9/6/1996

Series 7

Date: 7/13/2000

Current Firm

GREENLEAF FINANCIAL GROUP

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREENLEAF FINANCIAL GROUP

TRUST BUT VERIFY

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