SH
Steven G. Hart
FIFTH THIRD SECURITIES
Seminole, FL 33772
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CRD#: 5927063
SH
Professional summary
Steven Gregory Hart, who also goes by Steve G Hart, Steven G Hart, Steven Gregory Hart, Steve Hart, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Seminole, Florida.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Steven has worked at 10 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve G Hart | Steven G Hart | Steven Gregory Hart | Steve 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) DAVIS WEALTH MANAGEMENT POSITION: OWNER NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/30/2023 ADDRESS: 12018 Steppingstone Blvd Tampa, FL 95815, United States DESCRIPTION: DBA 2) SIERRA RIDGE WEALTH MANAGEMENT POSITION: OWNER NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/30/2023 ADDRESS: 12018 Steppingstone Blvd Tampa, FL 95815, United States DESCRIPTION: DBA
CRS (Client Relationship Summary) - RIA
Click below to view Steven Gregory Hart's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Gregory 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®
NoneExperience
Current
April 4, 2024 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 10899 Park Boulevard, Seminole, FL 33772Office #2: 100 Island Way, Clearwater, FL 33767Office #3: 12360 Indian Rocks Road, Largo, FL 33774Office #4: 2501 W Bay Drive, Largo, FL 33770Office #5: 4875 East Bay Drive, Clearwater, FL 33764Office #6: 1150 Cleveland, Clearwater, FL 33755Office #7: 2710 Gulf To Bay Blvd, Clearwater, FL 33759RIA
BD
CRD#: 628
Seminole, FL
Current
April 3, 2024 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 10899 Park Boulevard, Seminole, FL 33772Office #2: 100 Island Way, Clearwater, FL 33767Office #3: 12360 Indian Rocks Road, Largo, FL 33774Office #4: 2501 W Bay Drive, Largo, FL 33770Office #5: 4875 East Bay Drive, Clearwater, FL 33764Office #6: 1150 Cleveland, Clearwater, FL 33755Office #7: 2710 Gulf To Bay Blvd, Clearwater, FL 33759RIA
BD
CRD#: 628
Seminole, FL
Past
September 20, 2023 - April 4, 2024
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
Tampa, FL
Past
August 15, 2023 - April 4, 2024
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
Tampa, FL
Past
December 21, 2020 - August 15, 2023
FISHER INVESTMENTS
RIA
CRD#: 107342
TAMPA, FL
Past
December 23, 2019 - November 4, 2020
PERSONAL CAPITAL ADVISORS CORPORATION
RIA
CRD#: 155172
ATLANTA, GA
Past
October 23, 2015 - January 3, 2020
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Atlanta, GA
Past
October 20, 2015 - January 3, 2020
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Atlanta, GA
Past
February 24, 2014 - September 29, 2015
E*TRADE SECURITIES LLC
BD
CRD#: 29106
ALPHARETTA, GA
Past
February 21, 2014 - September 29, 2015
HARRISDIRECT LLC
RIA
CRD#: 42159
ARLINGTON, VA
Past
August 16, 2012 - March 25, 2014
MERIT FINANCIAL ADVISORS
RIA
CRD#: 142457
ALPHARETTA, GA
Past
August 9, 2012 - March 27, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
ALPHARETTA, GA
Past
October 11, 2011 - July 10, 2012
EDWARD JONES
RIA
CRD#: 250
SUWANEE, GA
Past
July 15, 2011 - July 10, 2012
EDWARD JONES
BD
CRD#: 250
SUWANEE, GA
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".
FIFTH THIRD SECURITIES, INC.
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
RIA
Registered Investment Advisory firm - SEC (11/17/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
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
RR
Delaware(4/9/2024)
RR
Florida(4/4/2024)
IAR
Florida(4/4/2024)
RR
New Hampshire(4/5/2024)
RR
North Carolina(4/4/2024)
RR
South Carolina(2/12/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FIFTH THIRD SECURITIES, INC.
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
RIA
Registered Investment Advisory firm - SEC (11/17/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
34 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263
Mailing Address
38 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263
Phone number
(888) 889-1025
Established
Ohio since 05/01/1925
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,349
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | 2512810 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory assets under management
| Total Number of Accounts | 43,067 |
| AUM (Assets Under Management) | $ 9,127,646,064 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 19 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 08/26/2024 | ||
| 10/20/2023 |
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.
