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FRANKLIN AUGUSTUS HART III
FRANKLIN AUGUSTUS, FRANKLIN AUGUSTUS III HART
CRD#: 1061331
IA
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RBC CAPITAL MARKETS, LLCCRD#: 31194 111 ROCKVILLE PIKE
SUITE 825
ROCKVILLE, MD 20850-5117
SUITE 825
ROCKVILLE, MD 20850-5117
0
Disclosures
42
Years of Experience
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State Registrations
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California 12/5/2012
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Mississippi 12/5/2012
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Colorado 12/5/2012
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New Hampshire 12/5/2012
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Connecticut 12/5/2012
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New Jersey 12/5/2012
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Delaware 12/5/2012
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New York 12/5/2012
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District of Columbia 12/5/2012
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North Carolina 12/5/2012
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Florida 12/5/2012
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Oregon 12/5/2012
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Georgia 12/5/2012
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Pennsylvania 12/5/2012
B
Hawaii 8/31/2023
B
South Carolina 12/5/2012
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Indiana 4/17/2018
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South Dakota 3/6/2023
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Kansas 9/22/2022
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Tennessee 12/5/2012
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Kentucky 12/21/2012
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Texas 12/5/2012
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Louisiana 1/10/2014
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Texas 12/5/2012
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Maine 12/5/2012
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Virginia 12/5/2012
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Maryland 12/5/2012
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Washington 12/5/2012
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Maryland 2/24/2015
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West Virginia 12/5/2012
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Massachusetts 3/19/2018
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Wyoming 12/5/2012
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Minnesota 12/5/2012
SRO Registrations
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Registered with this firm since 12/5/2012
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Registered with this firm since 12/5/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/1994 - 12/11/2012 | WASHINGTON, DC | |
B | 01/22/1990 - 12/11/2012 | WASHINGTON, DC | |
B | 09/24/1982 - 01/23/1990 | WASHINGTON, DC |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.