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AH

Adrienne Y. Hart

ROCKDALE SECURITIES
New York, NY 10010
Some features on this profile are disabled
CRD#: 1510179
AH

Professional summary

Adrienne Yost Hart, who also goes by Adrienne Elizabeth Hart, Adrienne Elizabeth Yost, is a registered financial professional currently at ROCKDALE SECURITIES, LLC located in New York, New York and ORCHARD SECURITIES, LLC located in Pleasant Grove, Utah.

Adrienne is registered as a RR (Registered Representative) and started their career in finance in 1986. Adrienne has worked at 7 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 14, Series 27, Series 4, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adrienne Elizabeth Hart | Adrienne Elizabeth Yost

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) - BD

Click below to view Adrienne Yost Hart's CRS (Customer Relationship Summary).
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

March 31, 2015 - Present

ROCKDALE SECURITIES, LLC

Office #1: 1123 Broadway Suite 1200, New York, NY 10010
BD
CRD#: 169798
New York, NY
Current

January 24, 2019 - Present

ORCHARD SECURITIES, LLC

Office #1: 365 Garden Grove Lane Suite 100, Pleasant Grove, UT 84062
BD
CRD#: 133378
Pleasant Grove, UT
Current

October 2, 2023 - Present

TANGENT CAPITAL PARTNERS, LLC

BD
CRD#: 146999
Short Hills, NJ
Past

April 29, 2010 - September 5, 2014

FS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 145244
PHILADELPHIA, PA
Past

October 5, 2001 - July 31, 2009

SOVEREIGN SECURITIES CORPORATION, LLC

BD
CRD#: 112638
PHILADELPHIA, PA
Past

June 24, 1991 - June 2, 1998

FIRST CLEARING, LLC

BD
CRD#: 17344
ST. LOUIS, MO
Past

May 20, 1986 - September 29, 1988

WM SWORD & CO. INCORPORATED

BD
CRD#: 7122

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Maine
(4/11/2024)
RR
Montana
(1/27/2025)
RR
New Hampshire
(9/6/2024)
RR
New Jersey
(8/21/2024)
RR
New York
(6/2/2016)
RR
Ohio
(1/2/2025)
RR
Pennsylvania
(10/2/2023)
RR
Rhode Island
(1/6/2025)
RR
Utah
(1/28/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 9/14/2001
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/18/1995
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/2/1998
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/6/1995
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/29/1994
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/30/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TANGENT CAPITAL PARTNERS, LLC
TANGENT CAPITAL PARTNERS, LLC

CRD#: 146999 / SEC#: , 8-67885

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
14 Wyndham Road, Short Hills, NJ 07078
Mailing Address
30 Chatham Road P.o.box 708, Short Hills, NJ 07078
Phone number
(215) 816-2800
Established
Delaware since 11/07/2007
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (32 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TANGENT CAPITAL HOLDINGS, LLCSOLE OWNER
FELDMAN, RICHARD MARKFINANCIAL AND OPERATIONS PRINCIPAL2273453
HART, ADRIENNE YOSTCHIEF COMPLIANCE OFFICER1510179

Disclosures

Regulatory Event2

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.

Company Information

TANGENT CAPITAL PARTNERS, LLC

CRD#: 146999New York, NY 10010

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