Joshua E. Hart

CREDIT UNION INVESTMENT SERVICES

Raleigh, NC 27603

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CRD#: 5032049

Professional summary

Joshua Eric Hart, who also goes by Joshua Hart, is a registered financial advisor currently at CREDIT UNION INVESTMENT SERVICES located in Raleigh, North Carolina and SECU BROKERAGE SERVICES located in Raleigh, North Carolina.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Joshua has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joshua 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.

1) JOSH HART/SAGEMARK CONSULTING 4011 WEST CHASE BLVD, STE 100 RALEIGH, NC 27607 CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT DUTIES: OFFERS FIXED ANNUITIES, DISABILITY INSURANCE, LONG-TERM CARE INSURANCE AND TRADITIONAL LIFE INSURANCE START DATE: 02/2017 HOURS PER MONTH: 30 HOURS PER MONTH DURING TRADING HOURS: 30. 2) ARAMARK 4600 TRINITY RD RALEIGH NC CATEGORY: SERVICE INDUSTRY INVESTMENT RELATED: NO TITLE: EMPLOYEE DUTIES: SERVE CONCESSIONS/BARTEND AT VARIOUS VENUES START DATE: 08/2022 HOURS PER MONTH: 20 HOURS PER MONTH DURING TRADING HOURS: 0 Classic Sports Catering 8003 Regency Pkwy Cary, NC. 27518 Type of Business: Concession sales Title: Point of Sale Supervisor Start Date: 08/2023 Hours per month: 10 SECU Life Insurance Company. Investment related business. Address: Raleigh, NC. Nature: life insurance. Title: Agent. Start date: 10/2023. Duties and time (some during securities trading hours) as required in conjunction with position at State Employees' Credit Union. Lincoln Financial Group 1301 S. Harrison St Fort Wayne, IN. 46802 Type of Business: Life Insurance Title: Writing Agent Duties: Receive Trails on Existing Business, no new Writing. Gene Pleasants Agency 7000 Six Forks Rd, Suite 103 Raleigh, NC. 27615 Type of Business: Life Insurance General Agency Title: Writing Agent Duties: Receive Trails on Existing Business, No new Writing

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Eric Hart's 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

October 24, 2023 - Present

CREDIT UNION INVESTMENT SERVICES

Office #1: 801 Hillsborough St 3rd Floor, Raleigh, NC 27603

RIA

CRD#: 144871

Raleigh, NC

Current

October 24, 2023 - Present

SECU BROKERAGE SERVICES

Office #1: 801 Hillsborough Street 3rd Floor, Raleigh, NC 27603

CRD#: 19899

Raleigh, NC

Past

July 12, 2010 - September 12, 2023

OSAIC FA, INC.

RIA

CRD#: 3978

RALEIGH, NC

Past

January 12, 2006 - July 9, 2010

OSAIC FA, INC.

RIA

CRD#: 3978

RALEIGH, NC

Past

November 23, 2005 - April 12, 2007

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

November 23, 2005 - September 12, 2023

OSAIC FA, INC.

CRD#: 3978

RALEIGH, NC

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

North Carolina
(10/24/2023)

IAR

North Carolina
(10/24/2023)

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: 1/11/2006

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: 11/22/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/9/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CREDIT UNION INVESTMENT SERVICES

CREDIT UNION INVESTMENT SERVICES | CREDIT UNION INVESTMENT SERVICES, INC.

CRD#: 144871 / SEC#:

North Carolina

Registered Investment Advisory firm - (9/5/2007 Approved)

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Contact information

Main Address

801 Hillsborough Street 3rd Floor, Raleigh, NC 27603

Mailing Address

Po Box 26807, Raleigh, NC 27611

Phone number

(800) 451-5467

Established

Firm type

Fiscal year end

# of Employees

258

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 110,960

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

Joshua E. Hart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Eric Hart's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECU BROKERAGE SERVICES

OSAIC FA, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/11/2006

SIE

Date: 10/1/2018

Series 7

Date: 11/22/2005

Series 24

Date: 11/9/2006

FINRA

Current Firm

CREDIT UNION INVESTMENT SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CREDIT UNION INVESTMENT SERVICES

TRUST BUT VERIFY

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