Sandra 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.
Sandra Reynolds Hart, who also goes by Sandra R Hart, Sandy R Hart, Sandra Lynn Reynolds, was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1994. Sandra had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2012 - July 28, 2014
FIFTH THIRD SECURITIES, INC.
January 6, 2012 - July 28, 2014
FIFTH THIRD SECURITIES, INC.
July 29, 2005 - January 7, 2011
FIFTH THIRD SECURITIES, INC.
June 21, 2005 - January 7, 2011
FIFTH THIRD SECURITIES, INC.
January 1, 2004 - April 11, 2005
PNC WEALTH MANAGEMENT LLC
January 1, 2004 - April 11, 2005
PNC WEALTH MANAGEMENT LLC
September 10, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
April 5, 2000 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
July 7, 1995 - April 19, 2000
PNC BROKERAGE CORP
May 10, 1995 - June 2, 1995
ARTHURS, LESTRANGE & COMPANY INCORPORATED
April 22, 1994 - December 31, 1994
AMERICAN EXPRESS SERVICE CORPORATION
January 14, 1994 - May 5, 1995
IDS LIFE INSURANCE COMPANY
January 14, 1994 - May 5, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
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
Current Firm
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | 2512810 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory assets under management
| Total Number of Accounts | 43,067 |
| AUM (Assets Under Management) | $ 9,127,646,064 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 19 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 08/26/2024 | ||
| 10/20/2023 |
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.
