Fredric R. 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.
Fredric Roy Hart, who also goes by Frederic Roy Hart, Fredric R Hart, was a registered financial professional .
Fredric is a previously registered financial professional and started their career in finance in 1970. Fredric had worked at 29 firms and has passed the Series 63, SIE, PC, Series 1 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
November 13, 2012 - June 22, 2015
HENLEY & COMPANY LLC
September 25, 2012 - November 12, 2012
LAIDLAW & COMPANY (UK) LTD.
November 5, 2010 - October 12, 2012
EKN FINANCIAL SERVICES INC.
September 17, 2010 - November 8, 2010
ALEXANDER CAPITAL, L.P.
October 13, 2006 - October 15, 2010
SANDGRAIN SECURITIES LLC
September 6, 2005 - November 3, 2006
GREAT EASTERN SECURITIES, INC.
August 19, 2002 - August 25, 2005
WESTROCK ADVISORS, INC.
June 18, 2002 - September 6, 2002
WEATHERLY SECURITIES CORPORATION
April 19, 2002 - June 18, 2002
JOSEPH GUNNAR & CO. LLC
June 19, 2001 - April 18, 2002
GOLDIS FINANCIAL GROUP, INC.
May 30, 2001 - June 29, 2001
BISHOP, ROSEN & CO., INC.
May 11, 2001 - May 31, 2001
DONALD & CO. SECURITIES INC.
July 21, 1997 - March 16, 2001
HD BROUS & CO., INC.
June 7, 1995 - August 8, 1997
SANDGRAIN SECURITIES LLC
August 19, 1994 - May 24, 1995
DOMINARI SECURITIES LLC
August 6, 1993 - August 15, 1994
GILFORD SECURITIES INCORPORATED
March 17, 1993 - July 20, 1993
JOSEPHTHAL & CO., INC.
June 7, 1991 - March 8, 1993
REICH & CO., INC.
November 17, 1988 - June 24, 1991
GRUNTAL & CO., L.L.C.
September 15, 1988 - November 17, 1988
BUTCHER & SINGER INC.
April 26, 1988 - August 8, 1988
MORGAN STANLEY DW INC.
June 23, 1986 - February 18, 1988
KIDDER, PEABODY & CO. INCORPORATED
March 11, 1986 - May 22, 1986
GRUNTAL & CO., L.L.C.
June 20, 1985 - January 20, 1986
UBS FINANCIAL SERVICES INC.
July 7, 1982 - June 7, 1985
LEHMAN BROTHERS INC.
April 3, 1980 - May 26, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
November 22, 1977 - April 21, 1980
SCHRODER & CO. INC.
September 3, 1975 - June 18, 1977
LEHMAN BROTHERS INCORPORATED
April 18, 1975 - September 15, 1975
WHITE, WELD & CO. INCORPORATED
August 7, 1972 - April 27, 1975
FAULKNER, DAWKINS & SULLIVAN INC.
October 5, 1970 - May 12, 1975
HEROLD KASTOR AND GERALD
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
PC
Date: 6/20/1978
AMEX Put and Call ExamSeries 1
Date: 2/27/1962
Registered Representative ExaminationCurrent Firm
HENLEY & COMPANY LLC
CRD#: 131453 / SEC#: , 8-66463
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
