Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Vernon Hart is a financial advisor with Raymond James & Associates, Inc. based in Carmel, Indiana. James has been working in the financial industry since 1983 and has a strong background in securities and investments. James holds licenses in several states and is a registered representative of Raymond James & Associates, Inc. James is committed to providing clients with personalized financial advice and guidance.
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.
Please see note in schedule d - miscellaneous
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.
1
2
IN
06/17/2011 - Present
Raymond James & Associates, Inc. (Carmel IN)
IN
02/05/2001 - 06/16/2011
CITY SECURITIES CORPORATION (KOKOMO IN)
OH
01/04/1999 - 02/08/2001
NATCITY INSURANCE SERVICES, INC. (CLEVELAND OH)
OH
07/14/1995 - 02/08/2001
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
NY
08/03/1998 - 01/04/1999
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NA
05/03/1996 - 08/03/1998
INDEPENDENT FINANCIAL SECURITIES, INC.
IN
04/02/1990 - 07/14/1995
RAFFENSPERGER, HUGHES & CO., INC. (INDIANAPOLIS IN)
WI
11/24/1989 - 04/24/1990
NML EQUITY SERVICES, INC. (MILWAUKEE WI)
WI
11/24/1989 - 04/24/1990
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
NA
04/19/1983 - 03/14/1989
K. J. BROWN & CO., INC.
IA
Issued 08/01/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/03/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/04/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/1984
Series 3 - National Commodity Futures Examination
BC
Issued 04/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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