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Richard Hartman

Raymond James & Associates, INC.
47 Years of Experience
West Conshohocken, PA
1 DisclosureBroker
View SEC Summary
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Richard Hartman is a registered investment advisor at Raymond James & Associates, INC., based in West Conshohocken, PA, with 47 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

300 Conshohocken State Road, Suite 400, West Conshohocken, PA, 19428

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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.
Customer Dispute
November 2011
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Richard co-signed a mortgage and appears on the deed to help his daughter buy a home. He may assist with expenses if needed, but receives no cash flow, dedicating minimal time to this activity.

Employment History
Current Registrations
Raymond James & Associates, INC.
September 2009 - Present · 17 yrs 1 mo
Raymond James & Associates, INC.Broker
September 2006 - Present · 20 yrs 1 mo
Previous Registrations
Wachovia Securities, LLCBroker
October 1999 - September 2006 · 6 yrs 11 mos
First Union Capital Markets CORP.Broker
October 1994 - October 1999 · 5 yrs
Janney Montgomery Scott INC.Broker
May 1990 - October 1994 · 4 yrs 5 mos
W. H. Newbold's Son & Co./hopper Soliday & CO., INC.Broker
September 1988 - May 1990 · 1 yr 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1982 - October 1988 · 6 yrs 4 mos
Shearson Loeb Rhoades INC.Broker
September 1979 - June 1982 · 2 yrs 9 mos
Loeb PartnersBroker
September 1979 - September 1979 · 0 mos
State Registrations24 states
AZCACODEFLGAIAILMDMEMIMONHNJNVNYORPARISCTNTXVAWI
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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