Thomas Hartfield
Thomas Hartfield is a registered investment advisor at Hartfield Financial & Insurance Services, INC., based in Granada Hills, CA, with 21 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning. Their firm serves 130 clients with $28M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $500K | 1.25% |
| $500K - $1.0M | 1.00% |
| $1.0M - $5.0M | 0.75% |
| $5.0M - $10.0M | 0.50% |
| $10M+ | 0.40% |
Fees may be negotiable under unusual circumstances.
Fee Estimator
Location
11856 Balboa Blvd #669, Granada Hills, CA, 91344
Get directionsHistory
Regulatory History (3)
Customer Dispute
July 2024Customer Dispute
February 2021Criminal
May 1989Other Business Activities
Thomas is the President of Hartfield Financial & Insurance Services, Inc. since 1991. This appears to be an investment-related activity.
Employment History
Current Registrations
Hartfield Financial & Insurance Services, INC.
Previous Registrations
Western International Securities, INC.Broker
Gbs Financial CORP.Broker
LPL Financial CorporationBroker
Quest Capital Strategies, INC.Broker
Securities America, INC.Broker
National Planning CorporationBroker
State Registrations1 state
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.