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MH

Mark Hartman

GT SECURITIES
Los Angeles, CA 90094
Some features on this profile are disabled
CRD#: 5339094
MH

Professional summary

Mark Hartman, who also goes by Mark W Hartman Jr, Mark W Hartman, Mark William Hartman Jr, is a registered financial professional currently at GT SECURITIES, INC. located in Los Angeles, California.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2012. Mark has worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark W Hartman Jr | Mark W Hartman | Mark William Hartman Jr

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) - BD

Click below to view Mark 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

March 25, 2026 - Present

GT SECURITIES, INC.

Office #1: 12130 Millennium Dr Suite 300, Los Angeles, CA 90094
BD
CRD#: 116012
Los Angeles, CA
Past

December 5, 2022 - April 4, 2024

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
BERNARDSVILLE, NJ
Past

October 8, 2020 - March 24, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ
Past

August 1, 2017 - September 27, 2017

QUASAR TRADING, LLC

BD
CRD#: 151974
SAN JUAN, PR
Past

September 12, 2014 - August 3, 2015

QUASAR TRADING, LLC

BD
CRD#: 151974
SAN JUAN, PR
Past

February 6, 2014 - August 8, 2014

QUASAR TRADING, LLC

BD
CRD#: 151974
SAN JUAN, PR
Past

July 11, 2013 - February 18, 2014

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

July 11, 2013 - February 18, 2014

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 23, 2012 - July 8, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

January 27, 2012 - July 8, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(3/25/2026)
RR
New Jersey
(3/25/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/22/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/8/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/27/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/26/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GT SECURITIES, INC.
GROWTHINK SECURITIES, INC. | GT SECURITIES, INC. | GROWTHINK, INC.

CRD#: 116012 / SEC#: , 8-53527

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
12130 Millennium Dr Suite 300, Los Angeles, CA 90094
Mailing Address
12130 Millennium Dr, Los Angeles, CA 90094
Phone number
(310) 846-5004
Established
California since 12/06/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GROWTHINK, INC.PARENT CORPORATION
LAVINSKY, DAVID KENNETHMANAGING DIRECTOR4455040
TURO, JAMES STEVENMANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER2083402

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

GT SECURITIES, INC.

CRD#: 116012Los Angeles, CA 90094

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