Harry Hartman

20 Years of Experience

Albany, NY

1 DisclosureBrokerSells Insurance

Harry Hartman is a registered investment advisor at LPL Financial LLC, based in Albany, NY, with 20 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.

LPL Financial LLC

Compensation

Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly

Firm Size

27420 advisors

Number of Clients

1,676,192 clients

Average Client Portfolio

$369K average

Assets Under Management

$618.9B

Fee Structure

Minimum Investment:$1K

Investment management only (planning not offered)

LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.

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Location

4 Winners Circle, Albany, NY, 12205

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History

Regulatory History (1)

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.

Criminal

March 1992

Final Disposition

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Harry operates under the DBA Capcom Financial Services, focusing on non-variable insurance, dedicating about half his time to this activity. He also uses Broadview Wealth Management as a DBA for his LPL business since March 2023.

Employment History

Current Registrations

LPL Financial LLC

August 2021 - Present · 5 yrs 1 mo

LPL Financial LLC

April 2007 - Present · 19 yrs 5 mos

LPL Financial LLCBroker

April 2007 - Present · 19 yrs 5 mos

Previous Registrations

UBS Financial Services INC.Broker

April 2005 - March 2007 · 1 yr 11 mos

State Registrations17 states

CACTFLMAMDNCNJNVNYOHSCSDTNVAVTWAWV

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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