Adam T. Hark

WELLESLEY HILLS CAPITAL

NEWTON, MA 02459

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CRD#: 7225011

Professional summary

Adam Todd Hark is a registered financial advisor currently at WELLESLEY HILLS CAPITAL located in Newton, Massachusetts and WELLESLEY HILLS SECURITIES located in Newton, Massachusetts.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Adam has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, Series 79TO, SIE and Series 24 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.

Wellesley Hills Capital, Wellesley MA, time as needed, investment adviser, President

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Todd Hark's 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®

None

Experience

Current

June 5, 2020 - Present

WELLESLEY HILLS CAPITAL

Office #1: 1087 Beacon Street Ste 204, Newton, MA 02459

RIA

CRD#: 307068

NEWTON, MA

Current

December 2, 2021 - Present

WELLESLEY HILLS SECURITIES

Office #1: 1087 Beacon Street Suite 303, Newton, MA 02459Office #2: 1087 Beacon Street Suite 204, Newton, MA 02459

CRD#: 315364

NEWTON, MA

Past

March 14, 2021 - November 29, 2021

COMMONWEALTH PHARMA SECURITIES

CRD#: 121990

MARSHFIELD, MA

Past

December 21, 2020 - March 8, 2021

PCF CAPITAL MARKETS LLC

CRD#: 290765

BOSTON, MA

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

California
(3/19/2024)

Connecticut
(4/5/2024)

Florida
(5/1/2024)

Georgia
(8/15/2024)

Illinois
(8/21/2024)

IAR

Massachusetts
(6/5/2020)

Massachusetts
(3/24/2022)

New Jersey
(12/10/2024)

New York
(12/10/2024)

North Carolina
(11/19/2024)

Texas
(3/18/2024)

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

Series 63

Date: 1/11/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/28/2020

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/14/2021

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 12/19/2020

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 8/11/2020

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 9/8/2021

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WELLESLEY HILLS CAPITAL

WELLESLEY HILLS CAPITAL | WELLESLEY HILLS CAPITAL CORPORATION

CRD#: 307068 / SEC#:

Massachusetts

Registered Investment Advisory firm - (6/5/2020 Approved)

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Contact information

Main Address

1087 Beacon Street Ste 204, Newton, MA 02459

Mailing Address

Phone number

(617) 645-4040

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Firm Stability Insights

Adam T. Hark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Todd Hark's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLESLEY HILLS SECURITIES

COMMONWEALTH PHARMA SECURITIES

PCF CAPITAL MARKETS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/11/2021

Series 65

Date: 5/28/2020

Series 7TO

Date: 4/14/2021

Series 79TO

Date: 12/19/2020

SIE

Date: 8/11/2020

Series 24

Date: 9/8/2021

FINRA

Current Firm

WELLESLEY HILLS CAPITAL

Contact information

Documents

Red Flags

Company Information

WELLESLEY HILLS CAPITAL

TRUST BUT VERIFY

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