Arnold L. Hart
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.
Arnold Lawrence Hart was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1975. Arnold had worked at 8 firms and has passed the Series 63, Series 5, PC, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 1994 - January 13, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 14, 1994 - January 13, 1995
OSAIC FA, INC.
April 27, 1993 - May 13, 1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 11, 1984 - April 20, 1993
PRUDENTIAL EQUITY GROUP, LLC
January 2, 1979 - June 11, 1984
BOETTCHER & COMPANY, INC.
August 14, 1978 - December 21, 1979
PRESCOTT, BALL & TURBEN, INC.
February 23, 1978 - August 14, 1978
PRESCOTT, BALL & TURBEN
April 24, 1975 - March 4, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 11/14/1981
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 8
Date: 6/22/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
CRD#: 2580 / SEC#: , 8-13034
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN NATIONAL CORPORATION | HOLDING COMPANY | |
| CRAWFORD, FREDRICK JOHN | CHIEF FINANCIAL OFFICER, DIRECTOR | 4443207 |
| FREDERICK, CHRISTINE SPENCER | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2641636 |
| GLASS, DENNIS R | PRESIDENT, DIRECTOR | 2897098 |
| KONEN, MARK E | DIRECTOR | 5150090 |
| QUEK, SEE YENG | DIRECTOR | 1938493 |
| RYAN, KEITH JAMES | VICE PRESIDENT AND DIRECTOR | 2709700 |
Disclosures
| Regulatory Event | 14 |
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.
