Damon L. Hart

BAXTER INVESTMENT MANAGEMENT

Riverside, CT 06878

Some features on this profile are disabled

CRD#: 2057066

Professional summary

Damon Lane Hart, who also goes by Damon Hart, is a registered financial advisor currently at BAXTER INVESTMENT MANAGEMENT located in Riverside, Connecticut.

Damon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Damon has worked at 1 firm and has passed the Series 65, Series 63 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Damon 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.

DLH TECHNICAL SERVICES, INC. - NOT INVESTMENT-RELATED - 3 CHARLES PATH E., WESTON, CT 06883 - TECHNOLOGY CONSULTING SERVICES - PRESIDENT - START 01/2001 - 40 HOURS/MONTH - 8 HOURS/MONTH DURING TRADING HOURS - STRATEGIC TECHNOLOGY DIRECTION AND SUPPORT FOR FAMILY-OWNED AUTO DEALERSHIP.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Damon Lane Hart's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 25, 2019 - Present

BAXTER INVESTMENT MANAGEMENT

Office #1: 1030 East Putnam Avenue, Riverside, CT 06878

RIA

CRD#: 106548

Riverside, CT

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".

BAXTER INVESTMENT MANAGEMENT

BAXTER BROTHERS INC. | BAXTER INVESTMENT MANAGEMENT

CRD#: 106548 / SEC#: 801-1939

RIA

Registered Investment Advisory firm - (5/1/1959 Approved)

Texas

Registered Investment Advisory firm - (6/10/2002 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(3/25/2019)

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

IAR

Series 65

Date: 3/25/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/10/1993

National Commodity Futures Examination

Current Firm

BAXTER INVESTMENT MANAGEMENT

BAXTER BROTHERS INC. | BAXTER INVESTMENT MANAGEMENT

CRD#: 106548 / SEC#: 801-1939

RIA

Registered Investment Advisory firm - (5/1/1959 Approved)

Texas

Registered Investment Advisory firm - (6/10/2002 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1030 East Putnam Avenue, Riverside, CT 06878

Mailing Address

Phone number

(203) 637-4559

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAXTER INVESTMENT MANAGEMENT ADV PART II (3/24/2025)

Regulatory assets under management

Total Number of Accounts	1,032
AUM (Assets Under Management)	$ 1,008,336,559

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Brian Marchini

LPL ENTERPRISE, LLC

IAR

White Plains, NY

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Damon L. Hart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Damon Lane Hart's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAXTER INVESTMENT MANAGEMENT

Primary Firm SEC Registration

BAXTER INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 3/25/2019

Series 63

Date: 4/26/1990

Series 3

Date: 5/10/1993

Current Firm

BAXTER INVESTMENT MANAGEMENT

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BAXTER INVESTMENT MANAGEMENT

TRUST BUT VERIFY

Similar Advisors