Keith 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.
Keith J Hart, who also goes by Keith Joseph Hart, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2001. Keith had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2017 - November 27, 2017
RICHARD JAMES & ASSOCIATES, INC.
September 19, 2014 - October 16, 2015
AEGIS CAPITAL CORP.
May 20, 2014 - October 20, 2014
ROCKWELL GLOBAL CAPITAL LLC
October 21, 2013 - June 6, 2014
GLOBAL ARENA CAPITAL CORP
March 22, 2013 - November 5, 2013
NATIONAL SECURITIES CORPORATION
April 19, 2010 - March 25, 2013
NEWPORT COAST SECURITIES, INC.
April 10, 2008 - April 20, 2010
PRESTIGE FINANCIAL CENTER, INC.
March 26, 2007 - April 7, 2008
NEWBRIDGE SECURITIES CORPORATION
October 11, 2001 - April 18, 2007
JOSEPH STEVENS & CO., 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
Current Firm
RICHARD JAMES & ASSOCIATES, INC.
CRD#: 169131 / SEC#: , 8-69352
Contact information
FINRA licenses (36 States and Territories)
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.
