Andrew L. Hartley
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.
Andrew Luker Hartley was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2022. Andrew had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2022 - June 4, 2024
HOLCOMBE FINANCIAL, INC.
Primary Firm SEC Registration
HOLCOMBE FINANCIAL, INC.
CRD#: 142238 / SEC#: 801-67308
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
HOLCOMBE FINANCIAL, INC.
CRD#: 142238 / SEC#: 801-67308
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 694 |
| AUM (Assets Under Management) | $ 379,390,696 |
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.
