RICHARD LEE HARTMANN is currently employed as a Broker and/or Investment Adviser at M HOLDINGS SECURITIES, INC. located at 5299 DTC BOULEVARD, SUITE 1101, GREENWOOD VILLAGE, CO, 80111.
RICHARD LEE HARTMANN has worked at M HOLDINGS SECURITIES, INC. since June 01, 2007
Disclosure History
RICHARD LEE HARTMANN has 1 Disclosure Event(s).
Date: June 01, 2007 Category: Employment Separation After Allegations Firm Name: NMIS, LLC Termination Type: Discharged Allegations: REPRESENTATIVE WAS DISCHARGED AFTER VIOLATING A SUPERVISION PLAN INVOLVING FIRM AND AFFILIATED INVESTMENT ADVISOR POLICIES RELATING TO OBA, USE OF UNAPPROVED EMAIL ADDRESS FOR BUSINESS COMMUNICATIONS, UNAPPROVED LETTERHEAD, UNAPPROVED CORRESPONDENCE AND FILE MAINTENANCE. Broker Comment: NO ISSUES INVOLVED SECURITIES OR VARIABLE LIFE INSURANCE. ALL ISSUES WERE REGARDING NORTHWESTERN MUTUAL LIFE COMPANY AND NORTHWESTERN INVESTMENT SERVICES LLC POLICIES AND PROCEDURES. NORTHWESTERN MUTUAL REORGANIZED THE ENTITY UNDER WHICH WE WERE REGISTERED 4 DIFFERENT TIMES IN 5 YEARS, EACH TIME CHANGING THE RULES AND REGULATIONS UNDER WHICH WE OPERATED. THE OBA ISSUES REVOLVED AROUND THE USE OF THE BENEFIT CONCEPTS INC, OUR 29 YEAR OLD OPERATING ENTITY WHICH UNTIL JUNE 2006 WAS FULLY RECOGNIZED AND ACCEPTED BY NORTHWESTERN MUTUAL.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for RICHARD LEE HARTMANN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.