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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Steven Ernest Hartman

Advisor at HUNTINGTON FINANCIAL ADVISORS

Burton, MI | Flushing, MI

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Search this name across graphsid dfx:ria:14014cef-4ba1-c24c-0b37-e82a6634ca13

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Sep 7, 2007 to Sep 17, 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: HUNTINGTON FINANCIAL ADVISORS
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: Feb 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 2
Registered states: 1
Exams: S66
First exam: Feb 1, 2007
First registration: Sep 7, 2007
Dual registered: yes, broker-dealer
Other names: STEVE HARTMAN
IAPD individual key: 3211976

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
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 29, 2026	n/a	yes	Burton, MI\|Flushing, MI	Current employment
HUNTINGTON FINANCIAL ADVISORS	Bd affiliated wealth	Sep 3, 2019	n/a	yes	Burton, MI	Current employment
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	May 13, 2015	Aug 21, 2019	no	Lapeer, MI\|WAVERLY, IA\|Flint, MI\|FLINT, MI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 25, 2013	Apr 24, 2015	no	HOWELL, MI\|HOWELL, MI\|BRIGHTON, MI\|ANN ARBOR, MI\|ANN ARBOR, MI\|PINCKNEY, MI\|SOUTH LYON, MI\|COMMERCE TOWNSHIP, MI\|NOVI, MI	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Nov 14, 2013	no	FLINT, MI\|FLINT, MI\|BURTON, MI	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 2, 2010	Oct 1, 2012	no	FLINT, MI\|DAVISON, MI\|BURTON, MI\|FLINT, MI	Previous registration
EDWARD JONES	National bd RIA	Sep 7, 2007	Jan 10, 2008	no	ST LOUIS, MO\|FLINT, MI	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
CUNA BROKERAGE SERVICES, INC.	HUNTINGTON FINANCIAL ADVISORS	Aug 21, 2019	Sep 3, 2019	13	Firm change	Ibd to ibd
LPL FINANCIAL LLC	CUNA BROKERAGE SERVICES, INC.	Apr 24, 2015	May 13, 2015	19	Firm change	Other
J.P. MORGAN SECURITIES LLC	LPL FINANCIAL LLC	Nov 14, 2013	Nov 25, 2013	11	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
EDWARD JONES	CHASE INVESTMENT SERVICES CORP.	Jan 10, 2008	Jul 2, 2010	904	Firm change after gap	Other

Relationships

Registered with (7)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jun 29, 2026 to presentfactForm ADV
→ HUNTINGTON FINANCIAL ADVISORSRegistered adviserregistration: current employment
Sep 3, 2019 to presentfactForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
May 13, 2015 to Aug 21, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 25, 2013 to Apr 24, 2015factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Nov 14, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 2, 2010 to Oct 1, 2012factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Sep 7, 2007 to Jan 10, 2008factForm ADV

Dated events

No dated event names this entity yet.