Jean Marie 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.
Jean Marie Hart, who also goes by Jeanmarie Hart, was a registered financial professional .
Jean Marie is a previously registered financial professional and started their career in finance in 1989. Jean Marie had worked at 7 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2013 - October 3, 2024
PURSHE KAPLAN STERLING INVESTMENTS
June 1, 2009 - June 7, 2013
MORGAN STANLEY
May 13, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 14, 2001 - May 17, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 1997 - April 28, 2000
UBS FINANCIAL SERVICES INC.
October 4, 1993 - March 23, 1999
WOODBURY FINANCIAL SERVICES, INC.
April 24, 1990 - September 2, 1993
FLEET BROKERAGE SECURITIES, INC.
February 8, 1989 - August 23, 1989
FLEET BROKERAGE SECURITIES, INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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