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Detailed Report
Steven Hart
STEVE G HART, STEVEN G HART, STEVEN GREGORY HART, Steve Hart
CRD#: 5927063
IA
Investment Adviser
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Broker
FIFTH THIRD SECURITIES, INC.CRD#: 628 1150 CLEVELAND
CLEARWATER, FL 33755
Registration History
201220142016201820202022202420262 FIRMS2011 - 2012 (1 year)2 FIRMS2012 - 2014 (1 year)2 FIRMS2014 - 2015 (1 year)2 FIRMS2015 - 2020 (4 years)2 FIRMS2023 - 2024 (<1 year)2 FIRMS2024 - Present (<1 year)IAFISHER INVESTMENTS (CRD# 107342)2020 - 2023 (2 years)IAPERSONAL CAPITAL ADVISORS CORP... (CRD# 155172)2019 - 2020 (<1 year)
License(s)

State Registrations

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Delaware 4/9/2024
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New Hampshire 4/5/2024
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Florida 4/4/2024
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North Carolina 4/4/2024
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Florida 4/4/2024
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South Carolina 2/12/2025

SRO Registrations

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 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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FIFTH THIRD SECURITIES, INC. (CRD#:628)
1150 CLEVELAND, CLEARWATER, FL 33755
100 ISLAND WAY, CLEARWATER, FL 33767
Registered with this firm since 4/4/2024
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FIFTH THIRD SECURITIES, INC. (CRD#:628)
1150 CLEVELAND, CLEARWATER, FL 33755
100 ISLAND WAY, CLEARWATER, FL 33767
Registered with this firm since 4/3/2024
Previous Registration(s)
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 08/15/2023 - 04/04/2024 NEXT FINANCIAL GROUP, INC. (CRD#:46214) Tampa, FL
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 09/20/2023 - 04/04/2024 NEXT FINANCIAL GROUP, INC. (CRD#:46214) Tampa, FL
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 12/21/2020 - 08/15/2023 FISHER INVESTMENTS (CRD#:107342) TAMPA, FL
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 12/23/2019 - 11/04/2020 PERSONAL CAPITAL ADVISORS CORPORATION (CRD#:155172) ATLANTA, GA
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 10/23/2015 - 01/03/2020 CHARLES SCHWAB & CO., INC. (CRD#:5393) Atlanta, GA
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 10/20/2015 - 01/03/2020 CHARLES SCHWAB & CO., INC. (CRD#:5393) Atlanta, GA
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 02/21/2014 - 09/29/2015 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) ARLINGTON, VA
B
 02/24/2014 - 09/29/2015 E*TRADE SECURITIES LLC (CRD#:29106) ALPHARETTA, GA
B
 08/09/2012 - 03/27/2014 LPL FINANCIAL LLC (CRD#:6413) ALPHARETTA, GA
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 08/16/2012 - 03/25/2014 MERIT FINANCIAL ADVISORS LLC (CRD#:142457) ALPHARETTA, GA
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 10/11/2011 - 07/10/2012 EDWARD JONES (CRD#:250) SUWANEE, GA
B
 07/15/2011 - 07/10/2012 EDWARD JONES (CRD#:250) SUWANEE, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.