Stephen Hartmann
Stephen Hartmann is a registered investment advisor at LPL Enterprise, LLC, based in Fort Mill, SC, with 30 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
1055 Lpl Way, Fort Mill, SC, 29715
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.