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Helen Waleta Hartman

Investment Adviser Representative at REDWOOD FINANCIAL NETWORK

Solon, OHCRD #5231652Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
19 yrs
States Registered
4 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 4 states
North CarolinaOhioSouth CarolinaTexas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 7/21/2009
Series 63
Uniform Securities Agent State Law Examination
Passed 3/6/2007
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/8/2010
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 1/19/2007

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $250,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Redwood Financial Network Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

LPL FINANCIAL LLCCurrent
4/5/2018Solon, OH
REDWOOD FINANCIAL NETWORKCurrent
12/19/2014Solon, OH
PNC INVESTMENTS
11/13/200912/19/2014Cleveland, OH
NATCITY INVESTMENTS, INC.
9/29/200811/13/2009Euclid, OH

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at REDWOOD FINANCIAL NETWORK

7 other advisors in the directory

View REDWOOD FINANCIAL NETWORK firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Helen Waleta Hartman has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Helen Waleta Hartman - Financial Advisor in Solon, OH | AdvisorFinder