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Harry Hartman

LPL Financial LLC
21 Years of Experience
Albany, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Harry Hartman is a registered investment advisor at LPL Financial LLC, based in Albany, NY, with 21 years of industry experience. Harry 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
28221 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
—
View Full SEC Brochure

Location

4 Winners Circle, Albany, NY, 12205

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History

Regulatory History (1)
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Criminal
March 1992
Final Disposition
View Full SEC ReportHow 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 2 mos
LPL Financial LLCBroker
April 2007 - Present · 19 yrs 6 mos
LPL Financial LLC
April 2007 - Present · 19 yrs 6 mos
Previous Registrations
UBS Financial Services INC.Broker
April 2005 - March 2007 · 1 yr 11 mos
State Registrations18 states
CACTFLMAMDMINCNJNVNYOHSCSDTNVAVTWAWV
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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