Clayton E. Hartman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Clayton Ernest Hartman was a registered financial professional .
Clayton is a previously registered financial professional and started their career in finance in 1980. Clayton had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2015 - July 3, 2024
IFAM CAPITAL
January 17, 2014 - March 24, 2015
IFM CAPITAL ADVISORS, LLC
October 19, 2007 - January 29, 2014
UBS FINANCIAL SERVICES INC.
October 19, 2007 - January 29, 2014
UBS FINANCIAL SERVICES INC.
October 22, 1993 - October 29, 2007
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - October 29, 2007
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
December 22, 1980 - April 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 12
Date: 4/18/1984
NYSE Branch Manager ExaminationCurrent Firm
IFAM CAPITAL
CRD#: 175084 / SEC#: 801-81076
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 821 |
| AUM (Assets Under Management) | $ 1,705,072,580 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/18/2024 | ||
| 12/21/2023 | ||
| 12/12/2022 | ||
| 11/29/2021 |
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.
