Leaanna M. 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.
Leaanna Michelle Hartman, who also goes by Leaanna M Hartman, was a registered financial professional .
Leaanna is a previously registered financial professional and started their career in finance in 1997. Leaanna had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2019 - November 18, 2020
INVESCO DISTRIBUTORS, INC.
February 23, 2005 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 8, 2003 - February 2, 2005
WALNUT STREET SECURITIES, INC.
September 4, 2002 - June 30, 2003
VOYA FINANCIAL ADVISORS, INC.
February 7, 2001 - May 20, 2002
SOUTHERN FINANCIAL GROUP, INC.
July 22, 1998 - December 31, 1998
FFP SECURITIES, INC.
September 9, 1997 - April 2, 1998
SIGNATOR INVESTORS, 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
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
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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