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GEORGE ERNEST HART
GEORGE ERNEST HART III
CRD#: 4081965
IA
B
LPL FINANCIAL LLCCRD#: 6413 6000 POPLAR AVE SUITE 250
MEMPHIS, TN 38119
MEMPHIS, TN 38119
0
Disclosures
25
Years of Experience
View By:
State Registrations
B
Alabama 12/19/2024
B
North Carolina 12/4/2024
B
Arkansas 12/4/2024
B
Oklahoma 12/4/2024
B
Florida 12/4/2024
B
Tennessee 12/4/2024
B
Idaho 12/4/2024
IA
Tennessee 12/5/2024
B
Kentucky 12/4/2024
B
Utah 12/4/2024
B
Mississippi 12/4/2024
B
Virginia 12/4/2024
B
Missouri 12/4/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 12/5/2024
B
Registered with this firm since 12/4/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/26/2022 - 12/19/2024 | Memphis, TN | |
B | 01/23/2009 - 12/19/2024 | Memphis, TN | |
IA | 08/20/2009 - 12/31/2022 | Memphis, TN | |
IA | 04/08/2004 - 02/12/2009 | MEMPHIS, TN | |
B | 01/17/2000 - 02/12/2009 | MEMPHIS, TN |
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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.
IA
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.