Robert A. Hart

CETERA INVESTMENT ADVISERS LLC

GULF SHORES, AL 36542

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CRD#: 4232891

Professional summary

Robert Aubrey Hart, who also goes by Rob Hart, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Gulf Shores, Alabama and CETERA INVESTMENT SERVICES LLC located in Mobile, Alabama.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rob 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) - RIA

Click below to view Robert Aubrey Hart's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 9, 2018 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1400 Gulf Shores Parkway, Gulf Shores, AL 36542

RIA

CRD#: 105644

GULF SHORES, AL

Current

May 8, 2018 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 11 North Water Street, Mobile, AL 36602Office #2: 1400 Gulf Shores Parkway, Gulf Shores, AL 36542

CRD#: 15340

Mobile, AL

Past

March 20, 2015 - May 4, 2018

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

FAIRHOPE, AL

Past

March 20, 2015 - May 4, 2018

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

FAIRHOPE, AL

Past

February 13, 2013 - March 19, 2015

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

MOBILE, AL

Past

February 13, 2013 - March 19, 2015

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

MOBILE, AL

Past

March 17, 2011 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

MOBILE, AL

Past

September 1, 2010 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MOBILE, AL

Past

January 14, 2008 - December 31, 2009

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

November 19, 2004 - November 3, 2006

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

Past

September 16, 2003 - September 13, 2004

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

MOBILE, AL

Past

February 20, 2003 - September 13, 2004

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

July 17, 2001 - May 28, 2002

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

August 30, 2000 - June 22, 2001

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 30, 2000 - June 22, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Alabama
(5/9/2018)

Alabama
(5/11/2018)

Florida
(5/15/2018)

Mississippi
(5/14/2018)

New York
(7/5/2023)

South Carolina
(5/2/2022)

Washington
(3/26/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/16/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Robert A. Hart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Aubrey Hart's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

PFIC SECURITIES CORPORATION

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/16/2011

SIE

Date: 10/1/2018

Series 7

Date: 8/29/2000

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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