John W. Hart
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Woods Hart was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 16 firms and has passed the Series 63, Series 65, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2014 - January 29, 2020
AFFINITY INVESTMENT ADVISORS, LLC
October 5, 2012 - April 16, 2014
TSC DISTRIBUTORS, LLC
April 23, 2008 - July 18, 2012
ATEL SECURITIES CORPORATION
February 21, 2007 - November 2, 2007
EATON VANCE DISTRIBUTORS, INC.
January 16, 2007 - February 13, 2007
J.P. MORGAN INVESTMENT MANAGEMENT INC.
December 7, 2006 - February 7, 2007
JPMORGAN DISTRIBUTION SERVICES, INC.
July 28, 2006 - November 28, 2006
GOLD COAST SECURITIES, INC.
June 26, 2006 - November 28, 2006
GOLD COAST SECURITIES, INC.
August 26, 2003 - September 19, 2006
BERKELEY CAPITAL MANAGEMENT LLC
February 8, 2001 - June 12, 2003
LONDON PACIFIC SECURITIES, INC.
July 30, 1994 - October 25, 2000
BERKELEY INTERNATIONAL SECURITIES CORPORATION
April 22, 1994 - September 15, 2003
BERKELEY INTERNATIONAL ASSET MANAGEMENT
September 1, 1993 - March 28, 1994
FPS BROKER SERVICES, INC.
July 27, 1988 - January 7, 1993
NYLIFE SECURITIES LLC
October 2, 1987 - March 3, 1988
SOUTHMARK CAPITAL RESOURCE
May 28, 1987 - September 23, 1987
WATSON & TAYLOR INVESTMENTS INC.
June 1, 1984 - December 12, 1986
FRANKLIN REALTY SECURITIES CORP.
Primary Firm SEC Registration
AFFINITY INVESTMENT ADVISORS, LLC
CRD#: 108278 / SEC#: 801-42015
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AFFINITY INVESTMENT ADVISORS, LLC
CRD#: 108278 / SEC#: 801-42015
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 71 |
| AUM (Assets Under Management) | $ 1,065,062,527 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
