Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that California-based Stifel Nicolaus broker/adviser Robert Hart has received a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hart (CRD# 2313194).
Robert Hart has spent 26 years in the securities industry and has been registered with Morgan Stanley in Sea Girt, New Jersey since 2017. Previous registrations include Wells Fargo Clearing Services in Spring Lake, New Jersey (2012-2017); RBC Capital Markets in Wall Township, New Jersey (2008-2012); UBS Financial Services in Red Bank, New Jersey (2004-2008); Morgan Stanley DW in Purchase, New York (1994-2004); Equico Securities in New York, New York (1993-1994); and the Equitable Life Assurance Society of the United States in New York, New York (1993-1994). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 3, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 18, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on April 18, 1995; Series 7 (General Securities Representative Examination), which he obtained on October 1, 1994; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 27, 1993; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on April 17, 2001; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on March 2, 2001. He is a registered broker and investment adviser with 22 US states and territories: California, Connecticut, Delaware, Florida, Georgia, Hawaii, Indiana, Louisiana, Maryland, Massachusetts, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Vermont, and Virginia.
According to his BrokerCheck report, he has received one pending customer complaint and two denied customer complaints.