Troy V. Hart
Professional summary
Troy Vincent Hart is a registered financial professional currently at RBC CMA LTD .
Troy is registered as a RR (Registered Representative) and started their career in finance in 2011. Troy has worked at 4 firms and has passed the Series 63, Series 62, Series 82TO, Series 22TO, Series 99TO, Series 52TO, Series 6TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Troy Vincent Hart's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 19, 2021 - Present
RBC CMA LTD
Office #1: Walkers Corporate (bvi) Limited 171 Main Street, Po Box 92 Road Town, Tortola,, FOREIGNOffice #2: 200 Vesey Street 14th Floor, New York, NY 10281August 19, 2021 - April 8, 2025
RBC CAPITAL MARKETS, LLC
September 12, 2017 - August 2, 2021
SUMRIDGE PARTNERS, LLC
July 21, 2016 - June 12, 2017
ARXIS SECURITIES LLC
September 30, 2011 - June 23, 2016
RBC CMA LTD
September 20, 2011 - June 22, 2016
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/19/2021)
Exams
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/10/2011
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
RBC CMA LTD
CRD#: 121263 / SEC#: , 8-65401
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYAL BANK HOLDING INC. | DIRECT OWNER | |
| GRANNIS, JOHN | CHIEF OPERATING OFFICER | 2934841 |
| JASNOSZ, MICHAEL EDWARD | CHIEF COMPLIANCE OFFICER | 4386029 |
| JIANG, HE | PRINCIPAL OPERATIONS OFFICER | 5107323 |
| MANNING, THOMAS JAMES IV | PRESIDENT, CEO | 5182531 |
| PODYMA, LIDIA ANETA | PRINCIPAL FINANCIAL OFFICER | 5764487 |
| ROSENBAUM, DANIEL PHILIP | CHAIRMAN OF THE BOARD | 2797995 |
Disclosures
| Regulatory Event | 6 |
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.
