John F. Hart
Professional summary
John Francis Hart was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, John had worked at 13 firms, which includes WFG INVESTMENTS INC., WFG ADVISORS LP, QUESTAR ASSET MANAGEMENT INC., QUESTAR CAPITAL CORPORATION, RESOURCE HORIZONS GROUP LLC, LINDNER CAPITAL ADVISORS INC., ADVANTAGE CAPITAL CORPORATION, FSC SECURITIES CORPORATION, WORLD GROUP SECURITIES INC., WMA SECURITIES INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, FIDELITY BROKERAGE SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2014 - February 8, 2016
WFG INVESTMENTS, INC.
October 10, 2014 - February 8, 2016
WFG ADVISORS, LP
July 13, 2010 - August 7, 2013
QUESTAR ASSET MANAGEMENT, INC.
June 2, 2010 - August 7, 2013
QUESTAR CAPITAL CORPORATION
January 8, 2007 - January 8, 2008
RESOURCE HORIZONS GROUP LLC
January 19, 2006 - January 14, 2010
LINDNER CAPITAL ADVISORS, INC.
January 9, 2006 - December 31, 2006
RESOURCE HORIZONS GROUP LLC
June 27, 2003 - October 25, 2005
ADVANTAGE CAPITAL CORPORATION
April 22, 2003 - May 13, 2005
FSC SECURITIES CORPORATION
April 12, 2002 - May 22, 2002
WORLD GROUP SECURITIES, INC.
December 5, 2001 - April 12, 2002
WMA SECURITIES, INC.
October 8, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 8, 1998 - December 19, 2001
EQUITABLE ADVISORS, LLC
March 29, 1990 - September 30, 1998
FIDELITY BROKERAGE SERVICES LLC
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 8
Date: 9/30/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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