Joseph M. Hart

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CRD#: 1826677

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.

Joseph Michael Hart, CIMA®, who also goes by Joe Hart, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 18 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Hart

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)

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®

CIMA^®

Certified Investment Management Analyst

Experience

Past

March 18, 2022 - August 13, 2025

EMERSON EQUITY LLC

CRD#: 130032

SAN MATEO, CA

Past

September 5, 2019 - December 22, 2020

CENTER STREET SECURITIES, INC.

CRD#: 26898

NASHVILLE, TN

Past

November 9, 2018 - August 21, 2019

INVESTMENT PLANNERS, INC.

CRD#: 18557

DECATUR, IL

Past

December 17, 2015 - January 2, 2018

PROVASI CAPITAL PARTNERS LP

CRD#: 119539

DALLAS, TX

Past

July 21, 2014 - July 1, 2015

VERTICAL CAPITAL ASSET MANAGEMENT, LLC

RIA

CRD#: 158382

CORNELIUS, NC

Past

July 21, 2014 - July 1, 2015

VERTICAL CAPITAL SECURITIES, LLC

CRD#: 154697

IRVINE, CA

Past

November 9, 2011 - March 3, 2014

REALTY CAPITAL SECURITIES, LLC

CRD#: 145454

CORNELIUS, NC

Past

April 21, 2009 - October 5, 2010

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

NEW YORK, NY

Past

April 15, 2004 - October 5, 2010

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

NEW YORK, NY

Past

August 7, 2001 - February 27, 2003

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

September 23, 1998 - November 3, 2000

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

March 14, 1997 - September 30, 1998

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

March 30, 1992 - January 14, 1997

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

June 12, 1991 - March 19, 1992

MONARCH SECURITIES, INC.

CRD#: 2809

Past

February 25, 1991 - June 4, 1991

MONARCH FINANCIAL SERVICES, INC.

CRD#: 8520

Past

November 30, 1989 - December 31, 1990

ABI SECURITIES, INC.

CRD#: 24397

NEW YORK, NY

Past

November 19, 1989 - February 13, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

May 25, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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".

EMERSON EQUITY LLC

CRD#: 130032 / SEC#: 801-120835, 8-66296

RIA

Registered Investment Advisory firm - SEC (4/16/2021 Approved)

California

Registered Investment Advisory firm - SEC (5/11/2023 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/19/2023 Terminated)

Nevada

Registered Investment Advisory firm - SEC (5/11/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (9/21/2021 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (4/12/2023 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/11/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (4/11/2023 Terminated)

Virginia

Registered Investment Advisory firm - SEC (2/14/2022 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/16/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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: 8/25/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/20/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/7/1997

General Securities Principal Examination

Current Firm

EMERSON EQUITY LLC

CRD#: 130032 / SEC#: 801-120835, 8-66296

RIA

Registered Investment Advisory firm - SEC (4/16/2021 Approved)

California

Registered Investment Advisory firm - SEC (5/11/2023 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/19/2023 Terminated)

Nevada

Registered Investment Advisory firm - SEC (5/11/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (9/21/2021 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (4/12/2023 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/11/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (4/11/2023 Terminated)

Virginia

Registered Investment Advisory firm - SEC (2/14/2022 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/16/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

155 Bovet Road, Suite 725, San Mateo, CA 94402

Mailing Address

155 Bovet Road, Suite 725, San Mateo, CA 94402

Phone number

(650) 312-0200

Established

California since 10/10/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

222

SEC notice filing (32 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (10/27/2025)

Direct owners and executive officers

Name	Position	CRD#
BALDINI, DOMINIC JULIO	MANAGING MEMBER, PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNI PRINCIPAL, FINOP	3082081
MORRISSEY, KATHLEEN FRANCES	CHIEF OPERATIONS OFFICER	1771747
SNYDER, SEAN KRISTIAN	CHIEF STRATEGY OFFICER	1860842

Regulatory assets under management

Total Number of Accounts	1,091
AUM (Assets Under Management)	$ 327,937,701

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Joseph M. Hart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CENTER STREET SECURITIES, INC.

INVESTMENT PLANNERS, INC.

PROVASI CAPITAL PARTNERS LP

VERTICAL CAPITAL ASSET MANAGEMENT, LLC

VERTICAL CAPITAL SECURITIES, LLC

REALTY CAPITAL SECURITIES, LLC

VOYA INVESTMENT MANAGEMENT CO. LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

STEPHENS

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

MONARCH SECURITIES, INC.

MONARCH FINANCIAL SERVICES, INC.

ABI SECURITIES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/25/2023

Series 66

Date: 4/20/2009

SIE

Date: 1/2/2018

Series 7

Date: 5/21/1988

Series 24

Date: 11/7/1997

Current Firm

EMERSON EQUITY LLC

Contact information

SEC notice filing (32 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

EMERSON EQUITY LLC

TRUST BUT VERIFY

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