Tom Hartfield: $400K Complaint Against Hartfield Financial Advisor

Granada Hills, California financial advisor Tom Hartfield (CRD# 4664847) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Western International Securities broker is currently registered as an investment advisor with Hartfield Financial & Insurance Services.

Mr. Hartfield’s BrokerCheck report discloses two investor complaints. The most recent, filed in June 2024, alleges that as a representative of Western International Securities, he recommended unsuitable investments. The pending complaint alleges damages of $400,000.

An earlier investor complaint, filed in 2021, alleged that as a Western International Securities representative, he misrepresented and recommended unsuitable investments. The complaint reached a settlement of $20,000.

Hartfield Financial’s website includes a profile of Mr. Hartfield that describes his background, experience, and approach to working with his clients. “Hartfield Financial and Insurance Services, Inc prides itself on offering a highly customized approach to investing with comprehensive financial plans, access to thousands of investment products and a network of experienced accomplished professionals,” it explains. “Mr. Hartfield upholds a proactive hands-on approach to his practice, staying in-touch and involved with his clients and the communities where they reside.”

According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Tom Hartfield holds 20 years of securities industry experience. Based in Granada Hills, California, he has been registered as an investment advisor with Hartfield Financial & Insurance Services since 2019. His registration history includes Western International Securities, GBS Financial Corporation, LPL Financial Corporation, Quest Capital Strategies, Securities America, and National Planning Corporation. His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Principal Examination, or Series 26; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in California. (Information current as of September 8, 2024.)

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