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HH
CFP
HH
CFP

Harold Hartmann

LPL Financial LLC
17 Years of Experience
Madison, CT
BrokerSells Insurance
View SEC Summary
View SEC Summary

Harold Hartmann is a CFP-designated registered investment advisor at LPL Financial LLC, based in Madison, CT, with 17 years of industry experience. Harold 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

149 Durham Rd 3rd Flr, Unit 32, Madison, CT, 06443

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Harold is an assistant professor at the University of Bridgeport, a co-owner of two real estate rental companies, sells insurance products, and is CEO/President of a tax preparation company. He also works full-time for Northstar Wealth Partners.

Employment History
Current Registrations
LPL Financial LLCBroker
February 2024 - Present · 2 yrs 8 mos
LPL Financial LLC
February 2024 - Present · 2 yrs 8 mos
Previous Registrations
Osaic Wealth, INC.
September 2023 - March 2024 · 6 mos
Osaic Wealth, INC.Broker
September 2023 - March 2024 · 6 mos
Sagepoint Financial, INC.Broker
January 2016 - September 2023 · 7 yrs 8 mos
Sagepoint Financial, INC.
January 2016 - September 2023 · 7 yrs 8 mos
Northstar Wealth Partners LLC
November 2014 - November 2015 · 1 yr
LPL Financial LLCBroker
December 2011 - December 2015 · 4 yrs
H.D. Vest Investment ServicesBroker
October 2008 - December 2011 · 3 yrs 2 mos
State Registrations8 states
CACTFLNCNJNYPAWV
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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