John E. Hart

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CRD#: 6831123

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Edward Hart was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2017. John had worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

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.

1). The Name of the other business: Assurance Financial Parters Investment Related?: Yes Address of other business: Murfreesboro, TN Nature of other business: Insurance and Annuity Sales Your position: Insurance Producer Start Date: 05/2018 How many hours you devote to the other business per month: 160 How many hours you devote to the other business during securities trading hours: 160 Briefly describe your duties: Sales relating to Insurance and Annuities 2). The Name of the other business: Redwood Tax Specialists Investment Related?: Yes Address of other business: Murfreesboro, TN Nature of other business: Insurance Sales Your position: Managing Director Start Date: 12/2020 How many hours you devote to the other business per month: 12 How many hours you devote to the other business during securities trading hours: 10 3). The Name of the other business: Black Diamond Money Moves Investment Related?: Yes Address of other business: Murfreesboro, TN Nature of other business: For Marketing of Tax & Estate Planning for High Net Worth Individuals Your position: Co-Founder Start Date: 05/2022 How many hours you devote to the other business per month: 120 How many hours you devote to the other business during securities trading hours: 120

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 18, 2020 - January 20, 2023

APO FINANCIAL SERVICES, LLC

RIA

CRD#: 297647

MURFREESBORO, TN

Past

July 12, 2017 - December 16, 2019

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

Murfreesboro, TN

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".

APO FINANCIAL SERVICES, LLC

APO FINANCIAL SERVICES, LLC | SCOTT FINANCIAL SERVICES | JOHN HART FINANCIAL | ASSURANCE FINANCIAL PARTNERS

CRD#: 297647 / SEC#: 801-118090

RIA

Registered Investment Advisory firm - (2/14/2020 Approved)

Colorado

Registered Investment Advisory firm - (3/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/21/2020 Terminated)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 5/13/2017

Uniform Investment Adviser Law Examination

Current Firm

APO FINANCIAL SERVICES, LLC

APO FINANCIAL SERVICES, LLC | SCOTT FINANCIAL SERVICES | JOHN HART FINANCIAL | ASSURANCE FINANCIAL PARTNERS

CRD#: 297647 / SEC#: 801-118090

RIA

Registered Investment Advisory firm - (2/14/2020 Approved)

Colorado

Registered Investment Advisory firm - (3/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/21/2020 Terminated)

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Contact information

Main Address

10155 Westmoor Drive Suite 125, Westminster, CO 80021-2627

Mailing Address

Phone number

(720) 588-2000

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

APO FINANCIAL FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	929
AUM (Assets Under Management)	$ 111,168,207

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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John E. Hart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

APO FINANCIAL SERVICES, LLC

HORTER INVESTMENT MANAGEMENT, LLC

Primary Firm SEC Registration

APO FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2017

Current Firm

APO FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APO FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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