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WARREN JAY HARTZMAN
CRD#: 1155982
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 200 CAMPUS DR
STE 220
FLORHAM PARK, NJ 07932
Registration History
1985199019952000200520102015202020252 FIRMS2008 - Present (16 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2008 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1987 - 1988 (<1 year)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1983 - 1987 (4 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2008 (6 years)
Disclosure(s)
View By:
9/9/2020
Customer Dispute
Settled
4/1/1992
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 5/3/2023

IA
New Jersey 9/26/2008

B
California 7/17/2020

B
New Mexico 4/26/2023

B
Colorado 4/26/2023

B
New York 9/26/2008

B
Connecticut 4/26/2023

B
North Carolina 4/27/2023

B
Florida 9/26/2008

B
Ohio 7/15/2022

B
Georgia 5/31/2012

B
Pennsylvania 9/26/2008

B
Maryland 9/26/2008

B
South Carolina 5/14/2019

B
Massachusetts 9/26/2008

B
Texas 4/26/2023

B
Montana 5/10/2019

IA
Texas 4/26/2023

B
New Hampshire 8/3/2022

B
Virginia 7/2/2014

B
New Jersey 9/26/2008

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
200 CAMPUS DR STE 220, FLORHAM PARK, NJ 07932
Registered with this firm since 9/26/2008

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
200 CAMPUS DR STE 220, FLORHAM PARK, NJ 07932
Registered with this firm since 9/26/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/10/2002 - 10/07/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FLORHAM PARK, NJ
B
07/31/1993 - 10/07/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FLORHAM PARK, NJ
B
04/11/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
08/25/1987 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
07/20/1983 - 07/28/1987 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.