Nicholas HartungCRD Number: 5497610
Current Firm: Td Ameritrade, Inc.
Nicholas Hartung (CRD# 5497610) is an Investment Advisor Representative working at Td Ameritrade, Inc. in Omaha, NE and has over 10 years of experience in the finance industry.
Cambridge Investment Research Advisors, Inc.
Wells Fargo Clearing Services, LLC
Mutual Of Omaha Investor Services, Inc.
|Tdameritrade Inc.||Omaha, NE||Jan 2010 - Current||8|
|Performance Matters Associates||Dallas, TX||Jul 2009 - Dec 2009||< 1|
|None||Lincoln, NE||May 2009 - Jul 2009||< 1|
|Renaissance Financial||Omaha, NE||Jul 2008 - Apr 2009||< 1|
|Rf Brokerage||St Louis, MO||Jul 2008 - Apr 2009||< 1|
|None||Lincoln, NE||Dec 2007 - Jul 2008||< 1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||May 2008|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Criminal Record
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY