Michael Hartman has been Chief Compliance Officer of Northeast Planning Associates since January 2017, is not listed as a control person, but directly owns under 5% of the firm.
Northeast Planning Associates, Inc. is a Bedford, NH firm with $414M under management, 959 clients and 69 advisers across 36 offices, as of its May 2026 filing.
Michael Hartman’s longest registration is the current one, 21 years at Northeast Planning Associates since 2004. Before joining Northeast Planning Associates in 2004, Michael Hartman was registered through Mutual Service Corporation and Veravest Investment Advisors, Inc.
- LPL Financial LLCAlso current– present · 19 yearsNorthfield, NH · Adviser representative and broker · Firm CRD 6413
- – present · 21 yearsBedford, NH · Adviser representative · Firm CRD 131406
- Mutual Service Corporation– · under a yearBedford, NH · Adviser representative · Firm CRD 4806
- Veravest Investment Advisors, Inc.– · 3 yearsBedford, NH · Adviser representative · Firm CRD 105796
Investment adviser representative registrations
Michael Hartman is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from November 2004; the most recent is Texas, in April 2014.
- New HampshireSince 18 November 2004
- TexasResidentSince 3 April 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 4 June 2009 |
| Series 7 | General Securities Representative Examination | 8 May 2008 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 October 1992 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 1 July 1992 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Michael John Hartman
- CRD
- 2048316
- Firm
- Northeast Planning Associates · CRD 131406
- Role
- Chief Compliance Officer
- Office
- 43 CONSTITUTION DRIVE, Bedford, NH 03110
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 1992
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Michael Hartman work?
Michael Hartman has been Chief Compliance Officer of Northeast Planning Associates, Inc. since January 2017.
Is Michael Hartman a financial advisor?
Yes. Michael Hartman has a current investment-adviser registration in New Hampshire and Texas, through Northeast Planning Associates since November 2004.
How many years of experience does Michael Hartman have?
Michael Hartman has 34 years in the financial industry, since July 1992, across 4 adviser firms.
What exams has Michael Hartman passed?
Michael Hartman has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 24. The earliest, the Series 6, was passed in July 1992. FINRA credited Michael Hartman with the SIE, which began in October 2018.
Where did Michael Hartman work before Northeast Planning Associates?
Before Northeast Planning Associates, Michael Hartman was registered through Mutual Service Corporation, March 2004 to November 2004; Veravest Investment Advisors, Inc., April 2000 to December 2003.
Where is Michael Hartman based?
Michael Hartman’s registered office is in Bedford, NH.
Is Michael Hartman registered with FINRA?
Yes. Michael Hartman has a current broker registration, under CRD 2048316.
Source: FINRA BrokerCheck
How can I verify Michael Hartman’s record?
Search CRD 2048316 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Michael Hartman’s full registration record.
