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Charles Hartman

LPL Financial LLC
30 Years of Experience
Geneva, IL
BrokerSells Insurance
View SEC Summary
View SEC Summary

Charles Hartman is a registered investment advisor at LPL Financial LLC, based in Geneva, IL, with 30 years of industry experience. Charles is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28129 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

10 N. Third Street, Geneva, IL, 60134

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Charles sells life and health insurance, dedicating minimal time to it. He also operates The Retirement Network LTD as a DBA for his LPL business, taking nearly full-time hours, and provides investment advisory services through The Retirement Network and Leelyn Smith LLC, spending a few hours per week on each.

Employment History
Current Registrations
LPL Financial LLCBroker
November 2017 - Present · 8 yrs 11 mos
Leelyn Smith, LLC
June 1999 - Present · 27 yrs 4 mos
Previous Registrations
LPL Financial LLC
November 2017 - August 2018 · 9 mos
National Planning Corporation ("npc of America" in Fl & Ny)
March 2011 - November 2017 · 6 yrs 8 mos
National Planning CorporationBroker
January 2011 - November 2017 · 6 yrs 10 mos
Securities America, INC.Broker
December 1998 - January 2011 · 12 yrs 1 mo
Anchor Investment Securities, LTD.Broker
July 1996 - December 1998 · 2 yrs 5 mos
State Registrations9 states
ARAZILINNYTNTXVAWI
AdvisorBrokerBoth

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
No exam information available for this advisor.
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