Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lloyd Hart is a financial advisor who has been in the industry since 1983. James is currently registered with Raymond James Financial Services Advisors, INC, a firm that has over 6300 clients and manages over $275 billion in assets. James's prior experience includes positions at Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Wachovia Securities, LLC, Prudential Securities Incorporated, Salomon Smith Barney Inc., Lehman Brothers Inc., First Albany Corporation, Invest Financial Corporation, and Dean Witter Reynolds Inc. James offers a variety of services, including financial planning, portfolio management, and pension consulting. James holds a Series 63, 65, 7, 8, 9, 10, 24, and SIE license. James is also registered with the state of Florida as a registered representative and investment advisor.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
FL
09/17/2012 - Present
Raymond James Financial Services Advisors, Inc. (Vero Beach FL)
FL
06/01/2009 - 09/21/2012
MORGAN STANLEY SMITH BARNEY (VERO BEACH FL)
FL
03/07/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (VERO BEACH FL)
FL
07/01/2003 - 03/10/2008
WACHOVIA SECURITIES, LLC (VERO BEACH FL)
NY
01/18/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 01/21/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
06/07/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
02/08/1990 - 04/16/1993
FIRST ALBANY CORPORATION (NEW YORK NY)
WI
03/03/1987 - 02/12/1990
INVEST FINANCIAL CORPORATION (APPLETON WI)
NA
07/21/1983 - 02/19/1987
DEAN WITTER REYNOLDS INC.
IA
Issued 2/15/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/29/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 9/17/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 5/24/1988
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/8/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 7/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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