Don H. Hart

LPL ENTERPRISE

LOUISVILLE, KY 40222

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CRD#: 6055665

Professional summary

Don Howard Hart, who also goes by Donald Howard Hart, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Louisville, Kentucky.

Don is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Don has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Donald Howard 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) 08/23/2024 - EKU Sports - Announcer at sporting events - Announce starting lineups, scoring plays, sponsorships, contests, PSA - Outside/W-2 Employment - Non Inv Related - At COLUMBUS, OH - Start Date 11/15/2022 - 3hrs/mth - 0hrs/mth During Trading 2) 08/23/2024 - Transy Sports - Announcer at sporting events - Announce starting lineups, scoring plays, sponsorships, contests, PSA - Outside/W-2 Employment - Non Inv Related - At COLUMBUS, OH - Start Date 03/25/2020 - 4hrs/mth - 1hrs/mth During Trading 3) 08/23/2024 - University of Kentucky Athletics Dept - Announcer at sporting events - Announce starting lineups, scoring plays, sponsorships, contests, PSA - Outside/W-2 Employment - Non Inv Related - At COLUMBUS, OH - Start Date 07/24/2000 - 15hrs/mth - 1hrs/mth During Trading 4) 07/25/2025- DoorDash- Outside/W-2 Employment- Picking up and delivering orders from DoorDash to consumers- not inv. related- at San Francisco, CA- start date 07/28/2025- 25hrs/mnth-0hrs during trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Don Howard Hart's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Don Howard Hart's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

CRD#: 5685

COLUMBUS, OH

Past

September 20, 2021 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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.

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

Connecticut
(6/4/2025)

Florida
(11/15/2024)

Indiana
(11/14/2024)

Kentucky
(11/14/2024)

IAR

Kentucky
(11/14/2024)

Ohio
(11/14/2024)

Texas
(11/14/2024)

IAR

Texas
(11/14/2024)

Virginia
(11/14/2024)

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: 6/15/2012

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: 6/2/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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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Advisor Monitoring

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Don H. Hart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Don Howard Hart's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Don Howard Hart's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

HORNOR, TOWNSEND & KENT, LLC

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/15/2012

SIE

Date: 10/1/2018

Series 7

Date: 6/2/2012

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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