Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Lu Ann Hartley
Luann Ann Hartley, Luann Hartley
CRD#: 7826790
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 1670 BROADWAY
SUITE 2200, DENVER HUB
DENVER, CO 80202-5602
SUITE 2200, DENVER HUB
DENVER, CO 80202-5602
0
Disclosures
1
Year of Experience
View By:
State Registrations
B
Alabama 4/22/2024
B
Missouri 4/22/2024
B
Alaska 4/22/2024
B
Montana 4/22/2024
B
Arizona 4/22/2024
B
Nebraska 4/22/2024
B
Arkansas 4/22/2024
B
Nevada 4/22/2024
B
California 4/22/2024
B
New Hampshire 4/22/2024
B
Colorado 4/22/2024
B
New Jersey 4/22/2024
IA
Colorado 4/22/2024
B
New Mexico 4/22/2024
B
Connecticut 4/22/2024
B
New York 4/22/2024
B
Delaware 4/22/2024
B
North Carolina 4/22/2024
B
District of Columbia 4/22/2024
B
North Dakota 4/22/2024
B
Florida 4/22/2024
B
Ohio 4/22/2024
B
Georgia 4/22/2024
B
Oklahoma 4/22/2024
B
Hawaii 4/22/2024
B
Oregon 4/22/2024
B
Idaho 4/22/2024
B
Pennsylvania 4/22/2024
B
Illinois 4/22/2024
B
Rhode Island 4/22/2024
B
Indiana 4/22/2024
B
South Carolina 4/22/2024
B
Iowa 4/22/2024
B
South Dakota 4/22/2024
B
Kansas 4/22/2024
B
Tennessee 4/22/2024
B
Kentucky 4/22/2024
B
Texas 4/22/2024
B
Louisiana 4/22/2024
B
Utah 4/22/2024
B
Maine 4/22/2024
B
Vermont 4/22/2024
B
Maryland 4/22/2024
B
Virginia 4/22/2024
B
Massachusetts 4/22/2024
B
Washington 4/22/2024
B
Michigan 4/22/2024
B
West Virginia 4/22/2024
B
Minnesota 4/22/2024
B
Wisconsin 4/22/2024
B
Mississippi 4/22/2024
B
Wyoming 4/22/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/22/2024
B
Registered with this firm since 4/22/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/22/2024 - 03/06/2024 | ENGLEWOOD, CO | |
B | 11/09/2023 - 03/06/2024 | ENGLEWOOD, CO |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.