Kevin J. 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.
Kevin John Hart was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1986. Kevin had worked at 19 firms and has passed the Series 63, Series 99TO, SIE, Series 7 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 19, 2021 - September 8, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 23, 2019 - July 13, 2021
AVALON SECURITIES, LTD.
February 1, 2019 - August 20, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 3, 2013 - January 2, 2018
ORCHARD SECURITIES, LLC
August 28, 2012 - May 3, 2013
INSPEREX LLC
August 24, 2012 - May 3, 2013
INCAPITAL DISTRIBUTORS LLC
March 8, 2011 - October 31, 2011
SECURITY DISTRIBUTORS
October 12, 2009 - February 10, 2011
BARON CAPITAL, INC.
August 27, 2004 - April 22, 2008
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 15, 2004 - August 27, 2004
SUNAMERICA SECURITIES, INC.
June 18, 2001 - November 8, 2002
FSC SECURITIES CORPORATION
June 18, 2001 - November 8, 2002
ADVANTAGE CAPITAL CORPORATION
May 15, 2001 - December 20, 2002
SENTRA SECURITIES CORPORATION
May 15, 2001 - January 3, 2003
SPELMAN & CO., INC.
April 6, 2001 - January 27, 2004
OSAIC WEALTH, INC.
February 15, 2001 - December 20, 2002
SUNAMERICA SECURITIES, INC.
July 15, 1997 - March 7, 2001
COREBRIDGE CAPITAL SERVICES, INC.
October 2, 1995 - July 15, 1997
SUNAMERICA SECURITIES, INC.
November 29, 1994 - July 11, 1995
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 31, 1991 - January 19, 1993
GT GLOBAL, INC.
October 23, 1989 - December 31, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
May 10, 1989 - July 13, 1989
GLOBAL ATLANTIC DISTRIBUTORS, LLC
December 24, 1986 - May 24, 1989
COREBRIDGE CAPITAL SERVICES, 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
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
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.
