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JH

James R. Hart

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CRD#: 4021177
JH

Professional summary

James R Hart was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, James had worked at 2 firms, which includes BUTLER WICK & CO. INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

December 12, 2000 - July 25, 2007

BUTLER, WICK & CO., INC.

BD
CRD#: 120
SHARON, PA
Past

November 1, 1999 - December 14, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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

State Security Law Exam
RR
IAR
Series 66
Date: 11/16/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/29/1999
General Securities Representative Examination

Current Firm

BW
BUTLER, WICK & CO., INC.
BUTLER WICK & CO. INC. | BUTLER, WICK & COMPANY | BUTLER, WICK & CO., INC.

CRD#: 120 / SEC#: , 8-30083

BD
Terminated by SEC on 08/23/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 06/27/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STIFEL FINANCIAL CORPSHAREHOLDER
BENNETT, FRANKLIN SEATON JRSECRETARY , GEN. COUNSEL & CH ADMIN OFFICER & CHIEF COMPLIANCE OFFICER FOR BD & IA3104054
CAVALIER, THOMAS JOHNPRESIDENT, CEO, DIRECTOR, SCROP, CROP,ROP821408
MEACHAM, RALPH THOMASCFO & TREASURER2735050

Disclosures

Regulatory Event10
Arbitration2

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

BUTLER, WICK & CO., INC.

CRD#: 120

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