Derek Hart
Professional Summary
Derek Hart is a registered financial advisor currently at RUSSELL INVESTMENTS located in Seattle, Washington and RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Seattle, Washington. Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Derek has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Years of Experience
8 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Current Firm
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP
Contact Information
Main Address
401 Union Street 18th Floor, Seattle, WA 98101Phone Number
(206) 505-7877# of Employees
569SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
6,599AUM (Assets Under Management)
$68,603,687,893Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Primary Firm SEC Registration
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP
State Registrations and Notice Filings
(1/2/2023)
(12/22/2018)
(6/6/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
CRS (Client Relationship Summary) - RIA
Click below to view Derek Hart's CRS (Customer Relationship Summary).
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC