AH
Adam B. Hartung
J. W. COLE ADVISORS
Lakeville, MN 55044
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CRD#: 4139376
AH
Professional summary
Adam Brian Hartung, AIF®, CFP® is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Lakeville, Minnesota and J.W. COLE FINANCIAL, INC. located in Lakeville, Minnesota.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Adam has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 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) Midwest Money Management; DBA; 17316 Kenyon Ave, Ste 104, Lakeville, MN 55044; Investment Management/Financial Planning/Insurance Sales (Fixed annuities, life, disability, long term care, health); President; Start October 1999, 200 hrs/mo, 150 hrs/mo during trading. (2) Brian D. Hartung Foundation; Not investment related; 20372 Greenwood Ave, Lakeville, MN 55044; Charity; Board Member; Start 2008; 1 hr/mo, 1 hr/mo during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Brian Hartung'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®
CFP®
Start date: 2006
Experience
Current
May 3, 2023 - Present
J. W. COLE ADVISORS, INC.
Office #1: 17316 Kenyon Ave Suite 104, Lakeville, MN 55044RIA
CRD#: 112294
Lakeville, MN
Current
April 28, 2023 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 17316 Kenyon Ave Suite 104, Lakeville, MN 55044BD
CRD#: 124583
Lakeville, MN
Past
April 28, 2023 - May 2, 2023
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
TAMPA, FL
Past
November 7, 2008 - April 28, 2023
SPC
RIA
CRD#: 110692
LAKEVILLE, MN
Past
February 9, 2002 - April 28, 2023
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
LAKEVILLE, MN
Past
March 6, 2000 - February 9, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
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".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)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
Arizona(5/8/2023)
RR
Colorado(4/28/2023)
RR
Florida(5/1/2023)
RR
Georgia(4/28/2023)
RR
Iowa(5/1/2023)
RR
Kansas(6/10/2024)
RR
Kentucky(5/8/2023)
RR
Minnesota(4/29/2023)
IAR
Minnesota(5/3/2023)
RR
Nevada(4/28/2023)
RR
North Carolina(5/8/2023)
RR
North Dakota(4/28/2023)
RR
South Dakota(5/3/2023)
IAR
Texas(10/21/2025)
RR
Washington(4/28/2023)
RR
Wisconsin(4/28/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
Phone number
(813) 935-6776
Established
Firm type
Fiscal year end
# of Employees
512
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
