Stephen Hartmann
Stephen Hartmann is a registered investment advisor at LPL Enterprise, LLC, based in Delmar, NY, with 30 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 102,563 clients with $25B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.35% |
Maximum advisory fee for Model Wealth Portfolios is 2.35% and is negotiable, plus manager fees ranging from 0% to 0.60%. Third-party asset management fees typically max out at 2.0%.
Fee Estimator
Location
2 Howard Place, Suite 1, Delmar, NY, 12054
Get directionsHistory
Regulatory History (3)
Customer Dispute
March 2005Customer Dispute
September 2002Criminal
September 1991Other Business Activities
Stephen is involved with Hartmann Financial Group, a tax preparation business, since 2012. He spends about half his time on it during tax season (Feb-Apr) and a few hours per week the rest of the year.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Ashton Thomas Securities, LLC
Ashton Thomas Securities, LLCBroker
Essex National Securities, INC.Broker
Leigh Baldwin & CO., LLCBroker
Nylife Securities INC.Broker
Pruco Securities CorporationBroker
State Registrations12 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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