James Stephen Hart
Professional Summary
James Stephen Hart was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1974 - 2015. James had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
52 years in the financial services industry
Current & Past Employments
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Current Firm
B RILEY WEALTH | WUNTRADE | WUNDERLICH SECURITIES, INC. | WUNDERLICH SECURITIES | WUNDERLICH | FUNDAMENTAL CAPITAL MARKETS | FUNDAMENTAL BROKERS INTER-DEALER | FIDUCIARY FINANCIAL SERVICES WEALTH MANAGEMENT (FFS) | DOMINICK & DOMINICK | CAPITAL SECURITIES OF AMERICA | B. RILEY WEALTH MANAGEMENT, INC. | B. RILEY WEALTH MANAGEMENT | B. RILEY WEALTH | B RILEY WEALTH MANAGEMENT, INC. | B RILEY WEALTH MANAGEMENT | B RILEY WEALTH ADVISORS
Contact Information
Main Address
40 South Main Suite 1800, Memphis, TN 38103Mailing Address
40 South Main Suite 1600, Memphis, TN 38103Phone Number
(901) 251-1330Established
Tennessee since 01/10/1992Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
250FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | — |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory Assets Under Management
Total Number of Accounts
9,621AUM (Assets Under Management)
$4,118,839,755Disclosures
Regulatory Event
18Arbitration
4Bond
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Jan 1974Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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