Terry T. 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.
Terry Troy Hartman, who also goes by Terry Troy Armstrong, was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1997. Terry had worked at 7 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2012 - October 17, 2012
COMERICA SECURITIES
February 2, 2010 - June 10, 2010
USAA FINANCIAL ADVISORS, INC.
May 29, 2008 - December 2, 2009
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 5, 2005 - January 4, 2007
GUARANTY BROKERAGE SERVICES, INC.
April 3, 2003 - September 15, 2004
GUARANTY BROKERAGE SERVICES, INC.
February 5, 2003 - February 13, 2003
CITICORP INVESTMENT SERVICES
November 14, 1998 - February 5, 2003
CAL FED INVESTMENTS
July 11, 1997 - November 14, 1998
GLENFED BROKERAGE SERVICES
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
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
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.
