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BH

Bret A. Hartman

CETERA INVESTMENT ADVISERS LLC
Baldwinsville, NY
Some features on this profile are disabled
CRD#: 4502046
BH

Professional summary

Bret Alexander Hartman, who also goes by Bret Hartman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Baldwinsville, New York and CETERA WEALTH SERVICES, LLC located in Cortland, New York.

Bret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Bret has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bret Hartman

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 Bret Alexander 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®
None

Experience

Current

January 26, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 1 N Main Street Suite 301, Cortland, NY 13045
RIA
CRD#: 105644
Baldwinsville, NY
Current

January 26, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1 N Main Street Suite 301, Cortland, NY 13045
BD
CRD#: 13572
Cortland, NY
Past

September 30, 2020 - February 3, 2026

BFC PLANNING, INC.

RIA
CRD#: 119682
Cortland, NY
Past

September 28, 2020 - February 3, 2026

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
Cortland, NY
Past

October 11, 2011 - September 22, 2020

LPL FINANCIAL LLC

RIA
CRD#: 6413
NORWICH, NY
Past

October 11, 2011 - September 22, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
NORWICH, NY
Past

June 22, 2010 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
CORTLAND, NY
Past

June 22, 2010 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CORTLAND, NY
Past

October 1, 2009 - June 7, 2010

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
DEWITT, NY
Past

September 22, 2009 - June 7, 2010

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
DEWITT, NY
Past

May 20, 2004 - August 18, 2006

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
LIVERPOOL, NY
Past

April 12, 2004 - August 18, 2006

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
LIVERPOOL, NY
Past

March 21, 2002 - December 4, 2003

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

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
Arkansas
(1/26/2026)
RR
Florida
(1/26/2026)
RR
Maine
(1/26/2026)
RR
New Jersey
(1/26/2026)
RR
New York
(1/26/2026)
IAR
New York
(1/26/2026)
RR
North Carolina
(1/26/2026)
RR
Pennsylvania
(1/26/2026)
RR
South Carolina
(1/26/2026)
RR
Tennessee
(1/26/2026)
RR
Vermont
(1/26/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/28/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Baldwinsville, NY

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