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

CARL WILLIAM HARTMANN

Advisor at MORGAN STANLEY

Alpharetta, GA

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Search this name across graphsid dfx:ria:664beb4d-289e-c2c6-d9b1-5c9331451d6c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 21, 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: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 21, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Feb 18, 2009
First registration: Apr 21, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4647213

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
MORGAN STANLEY	Wirehouse	Sep 5, 2023	n/a	yes	Alpharetta, GA	Current employment
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Feb 23, 2009	Sep 5, 2023	no	ARLINGTON, VA\|Alpharetta, GA\|Alpharetta, GA\|Alpharetta, GA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 31, 2004	Mar 7, 2006	no	ALPHARETTA, GA	Previous registration
WADDELL & REED	Former SEC adviser	Apr 21, 2004	Aug 10, 2004	no	ATLANTA, GA	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
E*TRADE CAPITAL MANAGEMENT, LLC	MORGAN STANLEY	Sep 5, 2023	Sep 5, 2023	0	Bulk transfer	RIA to wirehouse
AMERIPRISE FINANCIAL SERVICES, LLC	E*TRADE CAPITAL MANAGEMENT, LLC	Mar 7, 2006	Feb 23, 2009	1,084	Firm change after gap	Other
WADDELL & REED	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 10, 2004	Aug 31, 2004	21	Firm change	Other

Relationships

Registered with (4)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Sep 5, 2023 to presentfactForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 23, 2009 to Sep 5, 2023factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 31, 2004 to Mar 7, 2006factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Apr 21, 2004 to Aug 10, 2004factForm ADV

Dated events

No dated event names this entity yet.