Stephen A. Hartel

MAIA WEALTH

Denver, CO 80202

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CRD#: 4570388

Professional summary

Stephen Allen Hartel, AIF®, who also goes by Stephen Hartel, Steve Hartel, is a registered financial advisor currently at MAIA WEALTH located in Denver, Colorado.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Stephen has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Hartel | Steve Hartel

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. 11/29/2017 - No Business Name - Not Investment Related - Various Locations - Public Speaker/Presenter - Public Speaker - Start Date 11/5/2009 - 1 Hours Per Month / 1 Hours During Trading. 2. 2/7/2018 - No Business Name - Not Investment Related - Outside/W-2 Employment - Started 12/15/2017 - 48 Hours Per Month/0 Hours During Securities Trading - FIREARMS SAFETY TRAINING INSTRUCTOR and Range Officer. INSURANCE AGENT. VARIOUS CARRIERS. NOT INVESTMENT RELATED. TRADING HOURS TIME SPENT= 15 HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Allen Hartel'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 11, 2023 - Present

MAIA WEALTH

Office #1: 1401 17th Street Suite 850, Denver, CO 80202

RIA

CRD#: 292817

Denver, CO

Past

November 29, 2017 - April 17, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

DENVER, CO

Past

November 29, 2017 - November 19, 2019

LPL FINANCIAL LLC

CRD#: 6413

DENVER, CO

Past

January 30, 2017 - September 12, 2023

TRILOGY CAPITAL, INC.

RIA

CRD#: 281597

DENVER, CO

Past

September 14, 2010 - November 29, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

DENVER, CO

Past

November 23, 2009 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

DENVER, CO

Past

July 26, 2006 - July 15, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BOSTON, MA

Past

February 22, 2005 - December 31, 2005

STEPHEN A. HARTEL

RIA

CRD#: 133661

ANDOVER, MA

Past

August 2, 1999 - December 31, 2002

ASPYRE WEALTH PARTNERS

RIA

CRD#: 107212

ANDOVER, MA

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".

MAIA WEALTH

CRD#: 292817 / SEC#: 801-120452

RIA

Registered Investment Advisory firm - (3/5/2021 Approved)

California

Registered Investment Advisory firm - (6/6/2021 Terminated)

Colorado

Registered Investment Advisory firm - (5/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2021 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

Colorado
(9/11/2023)

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

IAR

Series 66

Date: 9/3/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/6/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/25/2006

General Securities Representative Examination

Current Firm

MAIA WEALTH

CRD#: 292817 / SEC#: 801-120452

RIA

Registered Investment Advisory firm - (3/5/2021 Approved)

California

Registered Investment Advisory firm - (6/6/2021 Terminated)

Colorado

Registered Investment Advisory firm - (5/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2021 Terminated)

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Contact information

Main Address

1401 17th Street Suite 850, Denver, CO 80202

Mailing Address

Phone number

(720) 644-8803

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (9/12/2025)

Regulatory assets under management

Total Number of Accounts	2,445
AUM (Assets Under Management)	$ 704,344,811

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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Advisor Monitoring

Firm Stability Insights

Stephen A. Hartel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Allen Hartel's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

TRILOGY CAPITAL, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

FIDELITY BROKERAGE SERVICES LLC

STEPHEN A. HARTEL

ASPYRE WEALTH PARTNERS

Primary Firm SEC Registration

MAIA WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 9/3/2010

Series 63

Date: 3/6/2007

SIE

Date: 10/1/2018

Series 7

Date: 7/25/2006

Current Firm

MAIA WEALTH

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAIA WEALTH

TRUST BUT VERIFY

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