James Hart, financial advisor Vero Beach FL
83 score

James Hart

CRD Number: 1160715
Current Firm: Raymond James Financial Services Advisors, Inc.

James Hart (CRD# 1160715) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Vero Beach, FL and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Raymond James Financial Services Advisors Inc. Vero Beach, FL Sep 2012 - Current 4
Raymond James Financial Services,inc Vero Beach, FL Aug 2012 - Current 4
Williams Financial Group Vero Beach, FL Aug 2012 - Current 4
Morgan Stanley Smith Barney Vero Beach, FL Jun 2009 - Aug 2012 3
Morgan Stanley & Company, Incorporated Vero Beach, FL Mar 2008 - Aug 2012 4
Wachovia Securities, LLC Richmond, VA Jan 2000 - Mar 2008 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1983
S65 NASAA Investment Advisors Law Examination Feb 2000
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for James L. Hart
Phone Number: 727-567-5877
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    64,210
    MILLIONS
  • Total Number of Accounts
    224,839
    ACCOUNTS
  • Average Account Value
    $285,581
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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