Richard HartCRD Number: 1231363
Current Firm: J.j.b. Hilliard, W.l. Lyons, LLC
Richard Hart (CRD# 1231363) is an Investment Advisor Representative working at J.j.b. Hilliard, W.l. Lyons, LLC in Lexington, KY and has over 34 years of experience in the finance industry.
Pierce Financial Planning, Inc.
Investment Professionals, Inc.
Context Financial LLC
|J.j.b. Hilliard, W.l. Lyons, Inc.||Lexington, KY||Oct 1983 - Current||34|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1984|
|S65||NASAA Investment Advisors Law Examination||Jan 2000|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management7,638MILLIONS
Total Number of Accounts24,586ACCOUNTS
Average Account Value$310,678
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, WA, WI, WV