Michael A. Hart

WALLACE HART CAPITAL MANAGEMENT

Lexington, KY 40509

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CRD#: 6027005

Professional summary

Michael Andrew Hart, CFP® is a registered financial advisor currently at WALLACE HART CAPITAL MANAGEMENT located in Lexington, Kentucky.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Michael has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Michael Andrew Hart's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

March 10, 2017 - Present

WALLACE HART CAPITAL MANAGEMENT

Office #1: 1792 Alysheba Way Suite 390, Lexington, KY 40509

RIA

CRD#: 285981

Lexington, KY

Past

April 26, 2012 - February 28, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LEXINGTON, KY

Past

April 2, 2012 - February 28, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LEXINGTON, KY

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".

WALLACE HART CAPITAL MANAGEMENT

NATHAN ANDREW LLC | WALLACE HART LLC | WALLACE HART CAPITAL MANAGEMENT

CRD#: 285981 / SEC#: 801-108930

RIA

Registered Investment Advisory firm - (1/13/2017 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Kentucky
(3/10/2017)

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: 4/25/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/28/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/31/2012

General Securities Representative Examination

Current Firm

WALLACE HART CAPITAL MANAGEMENT

NATHAN ANDREW LLC | WALLACE HART LLC | WALLACE HART CAPITAL MANAGEMENT

CRD#: 285981 / SEC#: 801-108930

RIA

Registered Investment Advisory firm - (1/13/2017 Approved)

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Contact information

Main Address

1792 Alysheba Way Suite 390, Lexington, KY 40509

Mailing Address

Phone number

(859) 300-3030

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WALLACE HART CAPITAL MANAGEMENT - PART 2A BROCHURE (9/24/2025)

Regulatory assets under management

Total Number of Accounts	763
AUM (Assets Under Management)	$ 255,607,816

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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Michael A. Hart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Andrew Hart's CRS (Customer Relationship Summary).

Certified licenses

Experience

WALLACE HART CAPITAL MANAGEMENT

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

WALLACE HART CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 4/25/2012

SIE

Date: 2/28/2017

Series 7

Date: 3/31/2012

Current Firm

WALLACE HART CAPITAL MANAGEMENT

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WALLACE HART CAPITAL MANAGEMENT

TRUST BUT VERIFY

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