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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

CHARLES HARTMAN

Advisor at STRATEGIC ADVISERS LLC

BROOKFIELD, WI | HARTLAND, WI

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Search this name across graphsid dfx:ria:4070f18d-ef73-7265-5537-e6567f6cb7d5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 20, 2014 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: STRATEGIC ADVISERS LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 8, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 8, 2014
First registration: Oct 20, 2014
Dual registered: yes, broker-dealer
Other names: CHARLES RYAN HARTMAN|CHARLES R HARTMAN|Charles Hartman
IAPD individual key: 6340208

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
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	BROOKFIELD, WI\|HARTLAND, WI	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Sep 10, 2020	Mar 31, 2025	no	BROOKFIELD, WI	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 10, 2017	Jul 28, 2020	no	Brookfield, WI	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 10, 2017	Jul 28, 2020	no	Brookfield, WI	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jun 8, 2016	Jan 27, 2017	no	Waukesha, WI	Previous registration
EDWARD JONES	National bd RIA	Oct 20, 2014	Mar 31, 2016	no	ST LOUIS, MO\|OCONOMOWOC, WI	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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jul 28, 2020	Feb 10, 2017	-1,264	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jul 28, 2020	Feb 10, 2017	-1,264	Firm change after gap	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jan 27, 2017	Feb 10, 2017	14	Firm change	Other
EDWARD JONES	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Mar 31, 2016	Jun 8, 2016	69	Firm change	Other

Relationships

Registered with (6)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Sep 10, 2020 to Mar 31, 2025factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 10, 2017 to Jul 28, 2020factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 10, 2017 to Jul 28, 2020factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jun 8, 2016 to Jan 27, 2017factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Oct 20, 2014 to Mar 31, 2016factForm ADV

Dated events

No dated event names this entity yet.