Stephen M. Hart

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CRD#: 5021146

Professional summary

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

Stephen is a previously registered financial professional and started their career in finance in 2008. Prior to being barred, Stephen had worked at 8 firms, which includes CANTOR FITZGERALD INVESTMENT ADVISORS, CANTOR FITZGERALD WEALTH PARTNERS LLC, CFWP SECURITIES LLC, ALLEN & COMPANY LLC, ROBOTTI & COMPANY ADVISORS LLC, ROBOTTI SECURITIES LLC, BLACKROCK INVESTMENTS LLC, BLACKROCK FINANCIAL MANAGEMENT INC.

Question & Answer

Are you a "fiduciary"?

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

March 30, 2017 - August 15, 2018

CANTOR FITZGERALD INVESTMENT ADVISORS

RIA

CRD#: 159296

NEW YORK, NY

Past

March 29, 2017 - February 9, 2018

CANTOR FITZGERALD WEALTH PARTNERS, LLC

RIA

CRD#: 167479

NEW YORK, NY

Past

March 29, 2017 - August 15, 2018

CFWP SECURITIES, LLC

CRD#: 170228

NEW YORK, NY

Past

March 23, 2015 - March 22, 2017

ALLEN & COMPANY LLC

CRD#: 1042

NEW YORK, NY

Past

October 25, 2012 - March 31, 2015

ROBOTTI & COMPANY ADVISORS, LLC

RIA

CRD#: 128093

NEW YORK, NY

Past

October 23, 2012 - March 23, 2015

ROBOTTI SECURITIES, LLC

CRD#: 13251

NEW YORK, NY

Past

July 27, 2009 - October 18, 2012

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

June 17, 2008 - October 18, 2012

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA

CRD#: 107105

NEW YORK, NY

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".

CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA

Registered Investment Advisory firm - (11/15/2011 Approved)

Delaware

Registered Investment Advisory firm - (5/22/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/22/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/4/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/13/2012

General Securities Principal Examination

Current Firm

CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA

Registered Investment Advisory firm - (11/15/2011 Approved)

Delaware

Registered Investment Advisory firm - (5/22/2018 Terminated)

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Contact information

Main Address

110 East 59th Street 7th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 915-1722

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CFIA ADV PART 2 & 2B 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,286
AUM (Assets Under Management)	$ 2,384,816,869

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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Firm Stability Insights

Stephen M. Hart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CANTOR FITZGERALD WEALTH PARTNERS, LLC

CFWP SECURITIES, LLC

ALLEN & COMPANY LLC

ROBOTTI & COMPANY ADVISORS, LLC

ROBOTTI SECURITIES, LLC

BLACKROCK INVESTMENTS, LLC

BLACKROCK FINANCIAL MANAGEMENT, INC

Primary Firm SEC Registration

CANTOR FITZGERALD INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 4/22/2008

SIE

Date: 8/15/2018

Series 7

Date: 12/4/2007

Series 24

Date: 10/13/2012

Current Firm

CANTOR FITZGERALD INVESTMENT ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CANTOR FITZGERALD INVESTMENT ADVISORS

TRUST BUT VERIFY

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