Kathleen Hartman has been Chief Compliance Officer of Greenleaf Financial Group since September 2005, is a control person of the firm and directly owns between 50% and 75% of it. Kathleen Hartman holds a Bachelor’s degree from Northwestern University and a Master’s degree in art history from The University of Chicago.
Greenleaf Financial Group, LLC is a Carmel, IN firm with $175M under management, 123 clients and 2 advisers across 2 offices, as of its April 2026 filing.
Kathleen Hartman is Principal of Greenleaf Financial Group, based in Indianapolis, Indiana. She began her financial services career as a mutual-fund analyst at Morningstar, Inc., in 1993 and later launched the “Investing for Retirement” column on Morningstar.com. She served as an investment consultant for institutional investors with Ennis, Knupp & Associates and founded Greenleaf Financial Group with Jennifer Hartman.
Kathleen Hartman’s longest registration is the current one, 20 years at Greenleaf Financial Group since 2006. Before joining Greenleaf Financial Group in 2006, Kathleen Hartman was registered through Morningstar Investment Services,inc.
- Greenleaf Financial GroupCurrent– present · 20 yearsCarmel, IN · Adviser representative · Firm CRD 137933
- Morningstar Investment Services,inc– · 4 yearsChicago, IL · Adviser representative · Firm CRD 112525
Professional designations
Listed by Greenleaf Financial Group
- CFA
- CFP®
Investment adviser representative registrations
Kathleen Hartman is registered as an investment adviser representative in 2 states. The first approvals date from February 2006; the most recent is California, in March 2006.
- CaliforniaSince 16 March 2006
- IndianaSince 6 February 2006
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7 | General Securities Representative Examination | 13 July 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 September 1996 |
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Kathleen Elizabeth Hartman
- CRD
- 2759014
- Firm
- Greenleaf Financial Group · CRD 137933
- Role
- Chief Compliance Officer
- Office
- 13295 ILLINOIS ST, SUITE 322, Carmel, IN 46032-3022
- Registration
- Investment adviser registration
- In the industry since
- February 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- greenleaf-fg.com
Where does Kathleen Hartman work?
Kathleen Hartman has been Chief Compliance Officer of Greenleaf Financial Group, LLC since September 2005, and is a control person of the firm.
Is Kathleen Hartman a financial advisor?
Yes. Kathleen Hartman has a current investment-adviser registration in California and Indiana, through Greenleaf Financial Group since February 2006.
How many years of experience does Kathleen Hartman have?
Kathleen Hartman has 24 years in the financial industry, since February 2002, across 2 adviser firms.
What exams has Kathleen Hartman passed?
Kathleen Hartman has passed 2 licensing exams: the Series 63 and Series 7. The earliest, the Series 63, was passed in September 1996.
Where is Kathleen Hartman based?
Kathleen Hartman’s registered office is in Carmel, IN.
Is Kathleen Hartman registered with FINRA?
No. Kathleen Hartman has no current broker registration.
Is Kathleen Hartman a CFP?
Greenleaf Financial Group lists Kathleen Hartman with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
Source: Kathleen Hartman, CFA, CFP biography, greenleaf-fg.com
Is Kathleen Hartman a CFA charterholder?
Greenleaf Financial Group lists Kathleen Hartman with the CFA credential (“CFA”) on its website. CFA Institute confirms certification status.
Source: Kathleen Hartman, CFA, CFP biography, greenleaf-fg.com
How can I verify Kathleen Hartman’s record?
Search CRD 2759014 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kathleen Hartman’s full registration record.