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Thomas Gerard Hart

Cetera Advisors LLC

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About Thomas Gerard Hart

Thomas Gerard Hart has been in the financial services industry since August 21, 1984. Currently, Thomas is a Registered Representative and Investment Advisor Representative with Cetera Advisors LLC, a financial firm that provides a wide range of financial services. Thomas has held several positions at other financial firms including VESTAX SECURITIES CORPORATION, LINSCO/PRIVATE LEDGER CORP, INVESTMENT MANAGEMENT & RESEARCH, INC, CONTINENTAL CAPITAL CORPORATION and NEL EQUITY SERVICES CORPORATION. Thomas has earned a Series 7 General Securities Representative license and a Series 63 Uniform Securities Agent State Law Examination. Thomas is currently registered to sell securities in Massachusetts.

Firm Information

Thomas Hart is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

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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Thomas Hart’s Registration & Firm History

MA

01/01/2004 - Present

Cetera Advisors LLC (Plymouth MA)

OH

11/01/1996 - 01/01/2004

VESTAX SECURITIES CORPORATION (HUDSON OH)

SC

09/18/1996 - 11/13/1996

LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)

FL

12/02/1988 - 09/19/1996

INVESTMENT MANAGEMENT & RESEARCH, INC (ST. PETERSBURG FL)

NA

03/21/1986 - 12/19/1988

CONTINENTAL CAPITAL CORPORATION

NA

08/22/1984 - 04/28/1986

NEL EQUITY SERVICES CORPORATION

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Licenses & Designations

BC

Issued 11/09/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/18/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Gerard Hart.
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