Ryan J. Hartwell

HARTWELL & COMPANY

Parker, CO 80134

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CRD#: 6819393

Professional summary

Ryan James Hartwell, who also goes by Ryan Hartwell, is a registered financial advisor currently at HARTWELL & COMPANY located in Parker, Colorado and LPL FINANCIAL LLC located in Parker, Colorado.

Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Ryan has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ryan Hartwell

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) 01/31/2024 - Hartwell & Company - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 2/1/2022 - 160 Hrs/Mo; 5 Hrs During Trading 2) 02/02/2024 - Heartwell Wealth Management LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - Started: 1/2/2024 - 1 hr/Mo - I provide investment advisory services through Hartwell Wealth Management LLC, an independent investment advisor firm. I started this business activity in 1/2024. I expect to spend approximately 1 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3) 08/19/2024 - Hartwell Financial LLC - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 01/01/204 - 2 Hours Per Month/ 0 Hours During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan James Hartwell'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®

None

Experience

Current

December 1, 2022 - Present

HARTWELL & COMPANY

Office #1: 12760 Stroh Ranch Way Suite 102, Parker, CO 80134

RIA

CRD#: 322723

Parker, CO

Current

October 12, 2022 - Present

LPL FINANCIAL LLC

Office #1: 12760 Stroh Ranch Way Ste 202, Parker, CO 80134

RIA

CRD#: 6413

PARKER, CO

Past

June 8, 2020 - October 12, 2022

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

KALAMAZOO, MI

Past

December 23, 2019 - October 12, 2022

USA FINANCIAL SECURITIES LLC

CRD#: 103857

KALAMAZOO, MI

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.

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

Colorado
(10/12/2022)

IAR

Colorado
(1/31/2024)

Illinois
(10/12/2022)

Indiana
(10/12/2022)

Michigan
(10/12/2022)

IAR

Michigan
(12/1/2022)

Pennsylvania
(10/12/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/5/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/23/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/21/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

HARTWELL & COMPANY

HARTWELL & COMPANY | HARTWELL WEALTH MANAGEMENT LLC

CRD#: 322723 / SEC#:

Colorado

Registered Investment Advisory firm - (1/31/2024 Approved)

Michigan

Registered Investment Advisory firm - (10/6/2022 Approved)

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Contact information

Main Address

800 Port St Suite D, St Joseph, MI 49085

Mailing Address

Phone number

(269) 983-2212

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	296
AUM (Assets Under Management)	$ 53,961,867

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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Ryan J. Hartwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan James Hartwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARTWELL & COMPANY

LPL FINANCIAL LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/5/2020

Series 7TO

Date: 12/23/2019

SIE

Date: 11/21/2019

FINRA

Current Firm

HARTWELL & COMPANY

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HARTWELL & COMPANY

TRUST BUT VERIFY

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