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Troy Hartman

Prospera Financial Services, INC.
29 Years of Experience
Kendallville, IN
2 DisclosuresBroker
View SEC Summary
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Troy Hartman is a registered investment advisor at Prospera Financial Services, INC., based in Kendallville, IN, with 29 years of industry experience. Troy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 19,103 clients with $12B in assets under management.

Prospera Financial Services, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
283 advisors
Number of Clients
19,103 clients
Average Client Portfolio
$651K average
Assets Under Management
$12.4B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.15%

Maximum annual fee across investment management programs is 2.15% of assets under management. Fees are negotiable based on account size, complexity, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

710 Goodwin Place, Kendallville, IN, 46755

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
February 2018
Customer Dispute
January 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Troy is the president of TCHB, LLC, a non-investment related business, spending minimal time on it. He is also the president of Hartman Group, an investment-related business, dedicating minimal time to it as well.

Employment History
Current Registrations
Prospera Financial Services, INC.
February 2018 - Present · 8 yrs 8 mos
Prospera Financial Services, INC.Broker
February 2018 - Present · 8 yrs 8 mos
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
August 2017 - March 2018 · 7 mos
Wells Fargo Advisors Financial Network, LLCBroker
August 2017 - March 2018 · 7 mos
Edward Jones
March 2008 - September 2017 · 9 yrs 6 mos
Edward JonesBroker
October 1997 - September 2017 · 19 yrs 11 mos
State Registrations24 states
AKALAZCACOFLGAILINKSKYLAMAMEMINCNJNYOHSDTNTXWAWI
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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