Individual Firm
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ROBERT LEONARD HART
BOB HART
CRD#: 3034577
IA
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WELLS FARGO ADVISORSCRD#: 19616 143 UNION BLVD
STE 1050
LAKEWOOD, CO 80228
STE 1050
LAKEWOOD, CO 80228
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Disclosures
26
Years of Experience
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State Registrations
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Arizona 2/8/2021
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Indiana 2/8/2021
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California 2/8/2021
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Kentucky 2/8/2021
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Colorado 2/8/2021
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Missouri 2/8/2021
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Colorado 2/8/2021
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New Mexico 2/8/2021
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Florida 2/8/2021
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New York 2/8/2021
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Illinois 2/8/2021
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Ohio 2/8/2021
SRO Registrations
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Registered with this firm since 2/8/2021
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Registered with this firm since 2/8/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/20/2009 - 01/13/2021 | EVERGREEN, CO | |
B | 02/20/2009 - 01/13/2021 | EVERGREEN, CO | |
IA | 08/12/2006 - 03/04/2009 | EVERGREEN, CO | |
B | 08/12/2006 - 03/04/2009 | EVERGREEN, CO | |
IA | 09/07/2000 - 08/12/2006 | EVERGREEN, CO | |
B | 08/18/2000 - 08/12/2006 | EVERGREEN, CO | |
B | 06/25/1998 - 08/23/2000 | NEW YORK, NY |
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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.