Matthew J. 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.
Matthew James Hart, who also goes by Matt Hart, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1996. Matthew had worked at 8 firms and has passed the Series 63, Series 79TO, Series 82TO, SIE, Series 7, Series 52 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
February 21, 2023 - October 23, 2023
CAPSTONE PARTNERS
October 2, 2020 - February 25, 2021
STILLPOINT CAPITAL, LLC
July 17, 2018 - August 25, 2020
JEFFERIES LLC
August 10, 2015 - September 24, 2018
INTREPID PARTNERS, LLC
January 16, 2009 - February 20, 2015
LAZARD FRERES & CO. LLC
July 1, 2008 - January 16, 2009
LAZARD ASSET MANAGEMENT SECURITIES LLC
April 15, 2002 - September 8, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2001 - March 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 1996 - September 3, 1997
AMERIPRISE ADVISOR SERVICES, INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
CAPSTONE PARTNERS
CRD#: 132185 / SEC#: , 8-66572
Contact information
FINRA licenses (17 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE CORPORATE FINANCE LLC | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| CASPER, MARK VERNON JR. | CHIEF FINANCIAL OFFICER | 6682711 |
| DAHLKE, STEPHEN MATTHEW | CHIEF COMPLIANCE OFFICER | 2577928 |
| FERRARA, JOHN MARIO II | PRESIDENT | 2097226 |
| JANSON, PAUL EDWARD | DIRECTOR | 4992234 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | EXECUTIVE MANAGING DIRECTOR | 6419334 |
| VALDIVIA, SERENA | AML OFFICER | 7790899 |
Disclosures
| Regulatory Event | 1 |
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.
