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Claudia Maria Chaves Hartman
CLAUDIA MARIA CHAVES, CLAUDIA MARIA CHAVES HARTMAN, Claudia Hartman
CRD#: 5395396
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 300 GALLERIA PKWY SE
ATLANTA, GA 30339
Registration History
20082010201220142016201820202022202420262 FIRMS2018 - Present (6 years)BMORGAN STANLEY (CRD# 149777)2016 - 2017 (1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2010 - 2016 (6 years)BUBS INTERNATIONAL INC. (CRD# 107726)2008 - 2010 (1 year)
License(s)

State Registrations

B
Alabama 11/6/2018

B
Missouri 11/6/2018

B
Arizona 11/6/2018

B
Montana 2/10/2020

B
California 11/6/2018

B
Nevada 12/18/2018

B
Colorado 11/6/2018

B
New Hampshire 5/29/2020

B
Connecticut 11/6/2018

B
New Jersey 11/6/2018

B
District of Columbia 11/6/2018

B
New York 11/6/2018

B
Florida 11/6/2018

B
North Carolina 11/7/2018

B
Georgia 4/5/2018

B
Ohio 12/19/2018

IA
Georgia 10/17/2018

B
Oklahoma 5/11/2021

B
Illinois 11/6/2018

B
Oregon 11/6/2018

B
Indiana 11/6/2018

B
Pennsylvania 11/6/2018

B
Iowa 11/6/2018

B
Rhode Island 3/5/2024

B
Kentucky 11/6/2018

B
South Carolina 11/6/2018

B
Louisiana 11/6/2018

B
Tennessee 11/6/2018

B
Maine 4/8/2022

B
Texas 11/6/2018

B
Maryland 11/6/2018

IA
Texas 11/6/2018

B
Massachusetts 11/6/2018

B
Utah 11/6/2018

B
Michigan 11/6/2018

B
Virginia 11/6/2018

B
Minnesota 4/12/2023

B
Washington 11/6/2018

B
Mississippi 11/6/2018

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
300 GALLERIA PKWY SE, ATLANTA, GA 30339
Registered with this firm since 10/17/2018

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
300 GALLERIA PKWY SE, ATLANTA, GA 30339
Registered with this firm since 4/5/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
B
07/29/2016 - 12/04/2017 MORGAN STANLEY (CRD#:149777) MIAMI, FL
B
01/01/2010 - 07/05/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) CORAL GABLES, FL
B
07/14/2008 - 01/01/2010 UBS INTERNATIONAL INC. (CRD#:107726) CORAL GABLES, FL
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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.