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TH

Thomas R. Hart

Some features on this profile are disabled
CRD#: 3018240
TH

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.

Thomas Ray Hart, who also goes by Tom Hart, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 8 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Hart

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 25, 2024 - January 22, 2026

ANICO FINANCIAL SERVICES, INC.

BD
CRD#: 158883
GALVESTON, TX
Past

September 27, 2007 - December 31, 2023

SECURITIES MANAGEMENT & RESEARCH, INC.

BD
CRD#: 759
SPRINGBORO, OH
Past

March 13, 2006 - August 22, 2007

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
SPRINGBORO, OH
Past

July 22, 2005 - August 22, 2007

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
SPRINGBORO, OH
Past

October 23, 2003 - July 13, 2005

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

October 17, 2001 - October 9, 2003

OSAIC FA, INC.

RIA
CRD#: 3978
COVINGTON, KY
Past

October 9, 2001 - October 9, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

October 9, 2001 - October 9, 2003

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

June 21, 2000 - October 2, 2001

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

November 20, 1998 - June 19, 2000

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/12/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AF
ANICO FINANCIAL SERVICES, INC.
ANICO FINANCIAL SERVICES, INC.

CRD#: 158883 / SEC#: , 8-68938

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
One Moody Plaza, Suite 1463, Galveston, TX 77550
Mailing Address
One Moody Plaza Suite 1463, Galveston, TX 77550
Phone number
(409) 621-7809
Established
Texas since 12/21/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMERICAN NATIONAL INSURANCE COMPANYDIRECT OWNER
LUIKART, THAD MICHAELDIRECTOR, PRESIDENT & CEO5111050
RUSTAD, STEPHANIE THERESEFINOP2327465
WHITE, STACEY LEIGHAVP, CHIEF COMPLIANCE OFFICER2721039

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.

Company Information

ANICO FINANCIAL SERVICES, INC.

CRD#: 158883

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