James S. 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.
James Stephen Hart was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1974. James had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2015 - December 28, 2015
B. RILEY WEALTH MANAGEMENT
January 21, 2015 - December 28, 2015
B. RILEY WEALTH MANAGEMENT
June 22, 2009 - January 28, 2015
DOMINICK & DICKERMAN LLC
June 10, 2009 - January 28, 2015
DOMINICK & DICKERMAN LLC
April 14, 2006 - June 18, 2009
JANNEY MONTGOMERY SCOTT LLC
December 19, 2001 - June 18, 2009
JANNEY MONTGOMERY SCOTT LLC
November 15, 2001 - December 20, 2001
STIRES & CO., INC.
August 4, 1993 - August 21, 1998
CITICORP SECURITIES, INC.
June 26, 1990 - June 4, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 26, 1984 - March 17, 1990
LEHMAN BROTHERS INC.
February 22, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 1, 1976 - October 1, 1980
LEHMAN SPECIAL SECURITIES INC.
January 12, 1974 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
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 1
Date: 1/14/1974
Registered Representative ExaminationCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
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 | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
