Michael C. 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.
Michael Christopher Hart, who also goes by Amir Fouad Soliman Hart, Amir Hart, Fouad Hart, Michael Hart, Soliman Hart, Amir Fouad Soliman, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 11 firms and has passed the Series 63, Series 65, Series 7, Series 3, Series 10, Series 9, Series 53 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
April 9, 2015 - November 20, 2015
CERTUITY, LLC
November 5, 2010 - July 31, 2013
U.S. BANCORP INVESTMENTS, INC.
May 5, 2008 - November 4, 2008
VALLEY FINANCIAL MANAGEMENT, INC.
May 2, 2008 - November 4, 2008
VALLEY FINANCIAL MANAGEMENT, INC.
May 15, 2001 - May 7, 2008
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - May 7, 2008
WELLS FARGO INVESTMENTS, LLC
June 21, 1996 - September 20, 1996
FIRST INTERSTATE INVESTMENTS,INC.
November 19, 1993 - May 2, 2001
WELLS FARGO SECURITIES INC.
January 29, 1992 - November 19, 1993
MARKETING ONE SECURITIES, INC.
August 1, 1991 - January 24, 1992
IFMG SECURITIES, INC.
May 22, 1991 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
December 20, 1988 - December 18, 1990
IDS LIFE INSURANCE COMPANY
December 20, 1988 - December 18, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CERTUITY, LLC
CRD#: 129505 / SEC#: 801-62580
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
Current Firm
CERTUITY, LLC
CRD#: 129505 / SEC#: 801-62580
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,889 |
| AUM (Assets Under Management) | $ 3,100,032,026 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/04/2024 | ||
| 12/22/2023 | ||
| 11/23/2022 |
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.
