Roger Hartley has been Partner of Cantata Wealth Management since May 2024, is not listed as a control person, but directly owns between 10% and 25% of the firm. Roger Hartley holds an M.A. in Politics, Philosophy and Economics from the University of Oxford.
Cantata Wealth Management, LLC is a Coral Gables, FL firm with $101M under management, 30 clients and 3 advisers across 5 offices, as of its August 2026 filing.
Roger Hartley is Co-Founder and Advisory Board Member of Cantata Wealth. Hartley spent the first third of the career with large international banks, Standard Chartered and Union Bank, then joined Putnam Lovell, a San Francisco-based investment banking boutique. In 2007 Hartley became Chief Operating Officer of an established West Coast alternative investment manager. Hartley co-founded MHB Advisers, a Bay Area-based investment banking and consulting firm.
No adviser firm registrations are on Roger Hartley’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 10 April 2010 |
| Series 24 | General Securities Principal Examination | 8 July 2002 |
| Series 7 | General Securities Representative Examination | 8 June 1993 |
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Roger Franklyn Hartley
- CRD
- 2331999
- Firm
- Cantata Wealth Management · CRD 332526
- Role
- Partner
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- cantatawealth.com
Where does Roger Hartley work?
Roger Hartley has been Partner of Cantata Wealth Management, LLC since May 2024.
Does Roger Hartley have a current investment-adviser registration?
Roger Hartley has a current broker registration and no current investment-adviser registration.
What exams has Roger Hartley passed?
Roger Hartley has passed 4 licensing exams: the Series 7, Series 24, Series 63 and Series 79TO. The earliest, the Series 7, was passed in June 1993. FINRA credited Roger Hartley with the SIE, which began in October 2018.
Is Roger Hartley registered with FINRA?
Yes. Roger Hartley has a current broker registration, under CRD 2331999.
Source: FINRA BrokerCheck
How can I verify Roger Hartley’s record?
Search CRD 2331999 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Roger Hartley’s full registration record.
