Charles R. Hart

Some features on this profile are disabled

CRD#: 1248371

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.

Charles Ray Hart, CFP® was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

10/4/2019 - CX Risk Management - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 09/01/2019 - 3 Hours Per Month/2 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CFP^®

Certified Financial Planner

Experience

Past

August 27, 2020 - May 4, 2023

CX INSTITUTIONAL, LLC

RIA

CRD#: 292627

PLANO, TX

Past

May 17, 2019 - September 22, 2020

CXI ADVISORS, LLC

RIA

CRD#: 301321

PLANO, TX

Past

May 17, 2019 - August 26, 2020

LPL FINANCIAL LLC

CRD#: 6413

PLANO, TX

Past

March 6, 2012 - May 21, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PLANO, TX

Past

March 6, 2012 - May 21, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PLANO, TX

Past

February 7, 2003 - March 6, 2012

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

PLANO, TX

Past

November 3, 2000 - February 7, 2003

THE MASTERS, INC.

RIA

CRD#: 108432

DALLAS, TX

Past

October 2, 2000 - March 6, 2012

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

PLANO, TX

Past

October 3, 1988 - October 2, 2000

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

April 3, 1984 - October 11, 1988

PENNINGTON/BASS EQUITIES, INC.

CRD#: 13765

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CX INSTITUTIONAL, LLC

CREDENT WEALTH MANAGEMENT | CX WEALTH DIRECT | CX INSTITUTIONAL, LLC

CRD#: 292627 / SEC#: 801-112742

RIA

Registered Investment Advisory firm - (3/1/2018 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 3/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Current Firm

CX INSTITUTIONAL, LLC

CREDENT WEALTH MANAGEMENT | CX WEALTH DIRECT | CX INSTITUTIONAL, LLC

CRD#: 292627 / SEC#: 801-112742

RIA

Registered Investment Advisory firm - (3/1/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 East 7th Street, Auburn, IN 46706

Mailing Address

Phone number

(260) 927-1830

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (10/14/2025)

ADV PART 2A (10/14/2025)

Regulatory assets under management

Total Number of Accounts	14,284
AUM (Assets Under Management)	$ 4,121,239,331

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles R. Hart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CXI ADVISORS, LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

VSR FINANCIAL SERVICES, INC.

THE MASTERS, INC.

VSR FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

PENNINGTON/BASS EQUITIES, INC.

Primary Firm SEC Registration

CX INSTITUTIONAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/30/1984

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1984

Current Firm

CX INSTITUTIONAL, LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CX INSTITUTIONAL, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors