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Jean marie Hart

Purshe Kaplan Sterling Investments

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About Jean marie Hart

Jean marie Hart has been a registered representative in the financial services industry since 1989. Jean marie is currently registered with Purshe Kaplan Sterling Investments. Prior to joining Purshe Kaplan Sterling Investments, Jean marie worked at Morgan Stanley, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, PaineWebber Incorporated, Fortis Investors, Inc., Fleet Brokerage Securities, Inc., and Norstar Brokerage Corporation. Jean marie has passed the following FINRA exams: Series 7, Series 99TO, and SIE. Jean marie holds a Series 63 license and is registered to sell securities in New York.

Firm Information

Jean marie Hart is currently registered with Purshe Kaplan Sterling Investments. Purshe Kaplan Sterling Investments is a Corporation formed on December 16, 1993 and is approved to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been registered with the SEC and has 10 regulatory event disclosures and 2 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

181

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Jean marie Hart’s Registration & Firm History

NY

06/27/2013 - Present

Purshe Kaplan Sterling Investments (Auburn NY)

NY

06/01/2009 - 06/07/2013

MORGAN STANLEY (SKANEATELES NY)

NY

05/13/2005 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (SKANEATELES NY)

NY

08/14/2001 - 05/17/2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NJ

04/29/1997 - 04/28/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

MN

10/04/1993 - 03/23/1999

FORTIS INVESTORS, INC. (OAKDALE MN)

NY

04/24/1990 - 09/02/1993

FLEET BROKERAGE SECURITIES, INC. (NEW YORK NY)

NY

02/08/1989 - 08/23/1989

NORSTAR BROKERAGE CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/10/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/21/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jean marie Hart.
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