Stephen Hartel has been an investment adviser representative at Maia Wealth since September 2023, and is not listed among the firm’s executive officers or direct owners.
Maia Wealth, LLC is a Denver, CO firm with $973M under management, 2,148 clients and 36 advisers across 9 offices, as of its May 2026 filing.
Stephen Hartel’s longest registration was 7 years at National Planning Corporation ("NPC of America" in FL & NY) (2010–2017). Before joining Maia Wealth in 2023, Stephen Hartel was registered through LPL Financial LLC and Trilogy Capital, Inc.
- Simplicity WealthAlso current– present · under a yearDenver, CO · Adviser representative · Firm CRD 300572
- LPL Financial LLC– · under a yearDenver, CO · Adviser representative · Firm CRD 6413
- Trilogy Capital, Inc.– · 6 yearsDenver, CO · Adviser representative · Firm CRD 281597
- National Planning Corporation ("NPC of America" in FL & NY)– · 7 yearsDenver, CO · Adviser representative · Firm CRD 29604
- Stephen A. Hartel– · under a yearAndover, MA · Adviser representative · Firm CRD 133661
- Koesten Hirschmann & Crabtree, Inc.– · 3 yearsAndover, MA · Adviser representative · Firm CRD 107212
Investment adviser representative registrations
Stephen Hartel is registered as an investment adviser representative in Colorado, since September 2023.
- ColoradoSince 11 September 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 3 September 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 March 2007 |
| Series 7 | General Securities Representative Examination | 25 July 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Stephen Allen Hartel
- CRD
- 4570388
- Firm
- Maia Wealth · CRD 292817
- Office
- 1331 17TH STREET, SUITE 800, Denver, CO 80202
- Registration
- Investment adviser registration
- In the industry since
- August 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Stephen Hartel work?
Stephen Hartel is an investment adviser representative registered through Maia Wealth, LLC since September 2023, and is not listed among the firm’s executive officers or direct owners.
Is Stephen Hartel a financial advisor?
Yes. Stephen Hartel has a current investment-adviser registration in Colorado, through Maia Wealth since September 2023.
How many years of experience does Stephen Hartel have?
Stephen Hartel has 23 years in the financial industry, since August 2003, across 7 adviser firms.
What exams has Stephen Hartel passed?
Stephen Hartel has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in July 2006. FINRA credited Stephen Hartel with the SIE, which began in October 2018.
Where did Stephen Hartel work before Maia Wealth?
Before Maia Wealth, Stephen Hartel was registered through LPL Financial LLC, November 2017 to April 2018; National Planning Corporation ("NPC of America" in FL & NY), September 2010 to November 2017; Stephen A. Hartel, February 2005 to December 2005; Koesten Hirschmann & Crabtree, Inc., August 1999 to December 2002.
Where is Stephen Hartel based?
Stephen Hartel’s registered office is in Denver, CO.
Is Stephen Hartel registered with FINRA?
No. Stephen Hartel has no current broker registration.
How can I verify Stephen Hartel’s record?
Search CRD 4570388 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Hartel’s full registration record.