Jace R. Hart

LEO WEALTH

Rockwall, TX 75087

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CRD#: 6817425

Professional summary

Jace Ray Hart, CFP®, who also goes by Jace Hart, is a registered financial advisor currently at LEO WEALTH, LLC located in Rockwall, Texas and LEO BROKERAGE, LLC located in Rockwall, Texas.

Jace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Jace has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Insurance Planning

Education Planning

Comprehensive Financial Planni...

Estate Planning

Tax Planning

Investment Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Jace 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. 10/2019 - DBA for LPL Business (entity for LPL business) - AIS Financial - Investment Related - Commerce, TX 2. 7/21/2021 - TPW Wealth Advisory - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 5/17/2021 - 40 Hours Per Month/325 Hours During Securities Trading - 1099 from LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jace Ray 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: 2019

Experience

Current

May 24, 2023 - Present

LEO WEALTH, LLC

Office #1: 301 North Goliad, Rockwall, TX 75087

RIA

CRD#: 283891

Rockwall, TX

Current

July 5, 2023 - Present

LEO BROKERAGE, LLC

Office #1: 301 No. Goliad, Rockwall, TX 75087

CRD#: 109121

Rockwall, TX

Past

October 15, 2019 - May 16, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

COMMERCE, TX

Past

October 15, 2019 - May 16, 2023

LPL FINANCIAL LLC

CRD#: 6413

COMMERCE, TX

Past

September 11, 2018 - October 8, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

WESTLAKE, TX

Past

July 20, 2017 - October 7, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

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".

LEO WEALTH, LLC

CRD#: 283891 / SEC#: 801-108435

RIA

Registered Investment Advisory firm - (9/26/2016 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.

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

IAR

Texas
(5/24/2023)

Texas
(7/5/2023)

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: 9/5/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/26/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LEO WEALTH, LLC

CRD#: 283891 / SEC#: 801-108435

RIA

Registered Investment Advisory firm - (9/26/2016 Approved)

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Contact information

Main Address

860 Airport Freeway Suite 402, Hurst, TX 76054

Mailing Address

Phone number

(817) 354-1090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEO WEALTH, LLC - ADV PART 2A BROCHURE (7/24/2025)

Regulatory assets under management

Total Number of Accounts	4,566
AUM (Assets Under Management)	$ 2,655,950,651

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/11/2025	Cover Page	Report
10/23/2024	Cover Page	Report
11/30/2023	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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Jace R. Hart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jace Ray Hart's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEO BROKERAGE, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

LEO WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/5/2018

Series 63

Date: 7/26/2017

SIE

Date: 10/1/2018

Series 7

Date: 7/20/2017

FINRA

Current Firm

LEO WEALTH, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LEO WEALTH, LLC

TRUST BUT VERIFY

Contact information

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