Nathan Hartman

CRD 4710174 · Charles Schwab & Co., Inc. · Phoenix, AZ

IA RegisteredBroker

Also appears in the source record as: Nathan Robert Hartman; Nathan Hartman

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 31Series 7Series 24Series 65Series 63
Registered states (12): Arizona · California · Colorado · Georgia · Hawaii · Michigan · Nevada · New Mexico · Oregon · Texas · Utah · Washington
Years in the industry (source record): 22
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (10)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Phoenix, AZ · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
San Diego, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Phoenix, AZ · IA capacity

start not retrieved → present
Schwab Wealth Advisory, Inc.Current
San Diego, CA · IA capacity

start not retrieved → present
Strategic Advisers LLC
San Diego, CA · IA capacity

Mar 31, 2025 → Aug 14, 2025
Fidelity Brokerage Services LLC
San Diego, CA · BC capacity

Sep 27, 2022 → Aug 14, 2025
Fidelity Personal And Workplace Advisors
San Diego, CA · IA capacity

Oct 31, 2022 → Mar 31, 2025
Lpl Financial LLC
San Diego, CA · BC capacity

Jun 14, 2018 → Aug 8, 2022
Vanguard Marketing Corporation
Malvern, PA · BC capacity

Sep 23, 2004 → May 24, 2018
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Oct 17, 2003 → Aug 24, 2004

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4710174 ↗ FINRA BrokerCheck record for CRD 4710174 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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