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Marlene Alexandria Hart

CRD# 3257425·Registered 1999 - 2004
Previously Registered: Being a previously registered professional could mean that Marlene 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.

Professional Summary

Marlene Alexandria Hart was a registered financial advisor. Marlene was a previously registered financial professional and started their career in finance 1999 - 2004. Marlene had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 31 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

27 years in the financial services industry

Current & Past Employments

ALLEN DOUGLAS SECURITIES, INC.·CRD# 42410
BD
Winter Park, FL
September 18, 2002 - June 1, 2004
INTERNATIONAL ASSETS ADVISORY, LLC·CRD# 10645
BD
Orlando, FL
August 1, 2002 - September 16, 2002
JANNEY MONTGOMERY SCOTT LLC·CRD# 463
BD
Philadelphia, PA
July 27, 2001 - July 5, 2002
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
March 1, 2000 - August 30, 2001
INVESTACORP, INC.·CRD# 7684
BD
Miami, FL
October 28, 1999 - March 14, 2000

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Current Firm

AD
ALLEN DOUGLAS SECURITIES, INC.

ALLEN DOUGLAS SECURITIES, INC.

CRD#: 42410 / SEC#: 8-49831
BD
Terminated by SEC on 01/03/2005

Contact Information

Established

Florida since 09/26/1996

Firm Type

Corporation

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
AMERICAN TRADING & BROKERAGE, INC.SHAREHOLDER—
MATTHEWS, DAVID WALTON JRCOMPLIANCE OFFICER, SROP, CROP, ROP323097
PIZZUTI, STEPHEN DOUGLASPRESIDENT1461660
THOMES, MARK ALANCFO, FINOP, MUNI PRIN2157459

Disclosures

Regulatory Event

4

Arbitration

5

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1999About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1999About the Series 7 exam

Series 31 — Futures Managed Funds Examination

Passed Sep 1999About the Series 31 exam

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CRS (Client Relationship Summary)

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

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