David C. 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.
David Charles Hart was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2014 - May 21, 2015
ALLSTATE FINANCIAL SERVICES, LLC
November 4, 2013 - May 6, 2014
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - December 31, 2012
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - May 6, 2014
VOYA FINANCIAL ADVISORS, INC.
October 1, 2008 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
October 1, 2008 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
March 5, 2004 - October 1, 2008
KMS FINANCIAL SERVICES, INC.
March 3, 2004 - October 1, 2008
KMS FINANCIAL SERVICES, INC.
June 10, 1997 - March 3, 2004
VOYA FINANCIAL ADVISORS, INC.
October 26, 1992 - March 3, 2004
VOYA FINANCIAL ADVISORS, INC.
January 7, 1991 - April 11, 1992
FIRST AFFILIATED SECURITIES
March 9, 1987 - January 10, 1991
TRANSAMERICA SECURITIES SALES CORPORATION
January 31, 1984 - January 10, 1991
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 21, 1983 - October 21, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
