Thomas V. Hart

HART INVESTMENT MANAGEMENT

Southern Pines, NC

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CRD#: 1082981

Professional summary

Thomas Vantine Hart is a registered financial advisor currently at HART INVESTMENT MANAGEMENT INC. located in Southern Pines, North Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Thomas has worked at 3 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Vantine Hart's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 8, 2008 - Present

HART INVESTMENT MANAGEMENT INC.

RIA

CRD#: 145306

Southern Pines, NC

Past

June 21, 2004 - January 4, 2008

DANZELL INVESTMENT MANAGEMENT, LTD.

RIA

CRD#: 128358

SOUTHERN PINES, NC

Past

December 31, 2001 - June 27, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

RALEIGH, NC

Past

December 21, 1982 - June 27, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(1/8/2008)

IAR

South Carolina
(1/8/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/5/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/2/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/18/1982

General Securities Representative Examination

Current Firm

HART INVESTMENT MANAGEMENT INC.

ABC FINANCIAL | HART INVESTMENT MANAGEMENT, INC. | HART INVESTMENT MANAGEMENT INC.

CRD#: 145306 / SEC#:

North Carolina

Registered Investment Advisory firm - (1/4/2008 Approved)

South Carolina

Registered Investment Advisory firm - (1/4/2008 Approved)

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Contact information

Main Address

Southern Pines, NC

Mailing Address

P.o.box 2357, Southern Pines, NC 28387

Phone number

(910) 695-0403

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	130
AUM (Assets Under Management)	$ 39,815,490

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas V. Hart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Vantine Hart's CRS (Customer Relationship Summary).

Certified licenses

Experience

HART INVESTMENT MANAGEMENT INC.

DANZELL INVESTMENT MANAGEMENT, LTD.

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/1993

Series 63

Date: 1/5/1983

Series 3

Date: 6/2/1983

Series 7

Date: 12/18/1982

Current Firm

HART INVESTMENT MANAGEMENT INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HART INVESTMENT MANAGEMENT INC.

TRUST BUT VERIFY

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