BH
BH
Bret Hartman
20 Years of Experience
Baldwinsville, NY
3 DisclosuresBrokerSells Insurance
Bret Hartman is a registered investment advisor, based in Baldwinsville, NY, with 20 years of industry experience.
Location
Baldwinsville, NY
Get directionsHistory
Regulatory History (3)
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.
Customer Dispute
August 2020Settled
Customer Dispute
June 2020Settled
Customer Dispute
May 2020Settled
Other Business ActivitiesSells Insurance
Bret is a co-trustee for the Hartman Family Irrevocable Trust, managing utilities and taxes for family cottages. He also owns and manages four rental properties, sells life insurance (permanent and term), operates Upskill Wealth Management, and is a member of Upskill Tax Services.
Employment History
Current Registrations
Cetera Wealth Services, LLC
January 2026 - Present · 4 mos
Cetera Investment Advisers LLC
January 2026 - Present · 4 mos
Cetera Wealth Services, LLCBroker
January 2026 - Present · 4 mos
Previous Registrations
Bfc Planning, INC.
September 2020 - February 2026 · 5 yrs 5 mos
Berthel, Fisher & Company Financial Services, INC.Broker
September 2020 - February 2026 · 5 yrs 5 mos
LPL Financial LLC
October 2011 - September 2020 · 8 yrs 11 mos
LPL Financial LLCBroker
October 2011 - September 2020 · 8 yrs 11 mos
Uvest Financial Services Group, INC.Broker
June 2010 - October 2011 · 1 yr 4 mos
Uvest Financial Services Group, INC.
June 2010 - October 2011 · 1 yr 4 mos
Chase Investment Services CORP.
October 2009 - June 2010 · 8 mos
Chase Investment Services CORP.Broker
September 2009 - June 2010 · 9 mos
Chase Investment Services CORP.
May 2004 - August 2006 · 2 yrs 3 mos
Chase Investment Services CORP.Broker
April 2004 - August 2006 · 2 yrs 4 mos
AXA Advisors, LLCBroker
March 2002 - December 2003 · 1 yr 9 mos
State Registrations10 states
ARFLMENCNJNYPASCTNVT
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.