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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

BRET ALEXANDER HARTMAN

Advisor at CETERA INVESTMENT ADVISERS LLC

Cortland, NY | Baldwinsville, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 20, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 20, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 28, 2009
First registration: May 20, 2004
Dual registered: yes, broker-dealer
Other names: BRET HARTMAN
IAPD individual key: 4502046

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 26, 2026	n/a	yes	Cortland, NY\|Baldwinsville, NY	Current employment
BFC PLANNING, INC.	Bd affiliated wealth	Sep 30, 2020	Feb 3, 2026	no	Cortland, NY\|CEDAR RAPIDS, IA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 11, 2011	Sep 22, 2020	no	CORTLAND, NY\|HAMILTON, NY\|CORTLAND, NY\|MARATHON, NY\|CINCINNATUS, NY\|CANASTOTA, NY\|TULLY, NY\|SHERRILL, NY\|CORTLAND, NY\|MANLIUS, NY\|CORTLAND, NY\|ONEIDA, NY\|NORWICH, NY\|PULASKI, NY\|BALDWINSVILLE, NY\|ONEIDA, NY\|SHERRILL, NY\|SHERBURNE, NY\|SOUTH OTSELIC, NY\|ONEIDA, NY\|EARLVILLE, NY\|CORTLAND, NY\|OSWEGO EAST, NY\|CORTLAND, NY\|OSWEGO, NY\|FULTON, NY	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Jun 22, 2010	Oct 11, 2011	no	CHARLOTTE, NC\|CORTLAND, NY\|CANASTOTA, NY\|CINCINNATUS, NY\|CORTLAND, NY\|CORTLAND, NY\|HAMILTON, NY\|MANLIUS, NY\|MARATHON, NY\|ONEIDA, NY\|SHERRILL, NY\|TULLY, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Oct 1, 2009	Jun 7, 2010	no	DEWITT, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 20, 2004	Aug 18, 2006	no	LIVERPOOL, NY\|LIVERPOOL, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BFC PLANNING, INC.	CETERA INVESTMENT ADVISERS LLC	Feb 3, 2026	Jan 26, 2026	-8	Firm change	Ibd to ibd
LPL FINANCIAL LLC	BFC PLANNING, INC.	Sep 22, 2020	Sep 30, 2020	8	Firm change	Ibd to ibd
UVEST FINANCIAL SERVICES GROUP, INC.	LPL FINANCIAL LLC	Oct 11, 2011	Oct 11, 2011	0	Bulk transfer	Other
CHASE INVESTMENT SERVICES CORP.	UVEST FINANCIAL SERVICES GROUP, INC.	Jun 7, 2010	Jun 22, 2010	15	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jan 26, 2026 to presentfactForm ADV
→ BFC PLANNING, INC.Registered adviserregistration: previous registration
Sep 30, 2020 to Feb 3, 2026factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 11, 2011 to Sep 22, 2020factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Jun 22, 2010 to Oct 11, 2011factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Oct 1, 2009 to Jun 7, 2010factForm ADV

Dated events

Occurred
Feb 3, 2026
Advisor changed firm
Bret Alexander Hartman left Bfc Planning, Inc. for Cetera Investment Advisers Llc (registered 2026-01-26)
Form ADVobserved 4 days ago