Ann W. Hartmann
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.
Ann W Hartmann, who also goes by Ann Hartmann Brockmeyer, Ann Wilson Hartmann, Ann Hartmann, Ann Wilson Hartmannbrockmeyer, Ann Elizabeth Wilson, Ann Wilson, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1981. Ann had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2018 - April 30, 2021
SPC
August 1, 2018 - April 30, 2021
SIGMA FINANCIAL CORPORATION
January 1, 2000 - August 13, 2018
OSAIC FA, INC.
June 1, 1998 - August 13, 2018
OSAIC FA, INC.
May 6, 1981 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
Current Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
