Thomas J. Hartfield
Professional summary
Thomas J. Hartfield, who also goes by Thomas J Hartfield, Tom Hartfield, is a registered financial advisor currently at HARTFIELD FINANCIAL & INSURANCE SERVICES, INC. located in Granada Hills, California.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Thomas has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas J. Hartfield's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 14, 2019 - Present
HARTFIELD FINANCIAL & INSURANCE SERVICES, INC.
Office #1: 11856 Balboa Blvd #669, Granada Hills, CA 91344November 26, 2013 - December 31, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
March 12, 2008 - December 13, 2013
GBS FINANCIAL CORP.
December 21, 2007 - March 7, 2008
LPL FINANCIAL LLC
November 11, 2005 - November 19, 2007
QUEST CAPITAL STRATEGIES, INC.
October 23, 2004 - September 19, 2005
SECURITIES AMERICA, INC.
February 5, 2004 - October 22, 2004
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/14/2019)
Exams
Current Firm
HARTFIELD FINANCIAL & INSURANCE SERVICES, INC.
CRD#: 300408 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 130 |
| AUM (Assets Under Management) | $ 28,241,295 |
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.
