Robert H. 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.
Robert Henry Hart JR, who also goes by Bob Hart Jr, Robert H Hart Jr, Robert H Hart, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2018 - July 15, 2022
AFS SECURITIES, LLC
August 12, 2013 - November 15, 2016
THE STRATEGIC FINANCIAL ALLIANCE, INC.
May 8, 2013 - August 13, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 8, 2009 - October 1, 2012
STATE FARM VP MANAGEMENT CORP.
February 16, 2007 - April 29, 2008
NYLIFE SECURITIES LLC
April 29, 2005 - January 10, 2007
PRINCIPAL SECURITIES, INC.
January 21, 2004 - April 14, 2005
AON SECURITIES LLC
May 15, 2001 - October 31, 2003
CLARK SECURITIES, INC.
October 4, 1996 - May 14, 2001
WESTPORT FINANCIAL SERVICES, L.L.C.
February 21, 1992 - December 31, 1992
PLANNED INVESTMENTS INC.
December 3, 1991 - September 27, 1996
IFG NETWORK SECURITIES, INC.
April 9, 1991 - June 11, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 28, 1991 - November 25, 1991
WALNUT STREET SECURITIES, INC.
February 13, 1991 - October 19, 1996
NEW ENGLAND SECURITIES
November 12, 1986 - February 14, 1991
MONARCH SECURITIES, INC.
January 20, 1984 - November 11, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
AFS SECURITIES, LLC
CRD#: 171819 / SEC#: , 8-69483
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN FINANCIAL SYSTEMS, INC. | OWNER | |
| ADRIEN, JACQUES C | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 2996942 |
| BENDER, STEVEN CHRISTOPHER | FINOP | 2650187 |
| BUNNELL, ANTHONY | CHIEF EXECUTIVE OFFICER, CHAIRMAN, BOARD OF MANAGERS | 4197371 |
| GIVENS, WILLIAM | CHIEF COMPLIANCE OFFICER | 2790454 |
| JOHNSON, DANIEL ROYCE | PRESIDENT, DESIGNATED RESPONSIBLE PRODUCER | 1225931 |
| MCDONALD, BRIAN THOMAS | BOARD OF MANAGERS | 2281813 |
Red Flags
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