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James Hart

Raymond James & Associates, INC.
42 Years of Experience
Carmel, IN
3 DisclosuresBroker
View SEC Summary
View SEC Summary

James Hart is a registered investment advisor at Raymond James & Associates, INC., based in Carmel, IN, with 42 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

11611 N Meridian St, Ste 600, Carmel, IN, 46032-7118

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2024
Closed-No Action
Customer Dispute
October 1999
Settled
Customer Dispute
December 1996
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Raymond James & Associates, INC.
June 2011 - Present · 15 yrs 4 mos
Raymond James & Associates, INC.Broker
June 2011 - Present · 15 yrs 4 mos
Previous Registrations
City Securities Corporation
February 2006 - June 2011 · 5 yrs 4 mos
City Securities CorporationBroker
February 2001 - June 2011 · 10 yrs 4 mos
Natcity Insurance Services, INC.Broker
January 1999 - February 2001 · 2 yrs 1 mo
Liberty Securities CorporationBroker
August 1998 - January 1999 · 5 mos
Independent Financial Securities, INC.Broker
May 1996 - August 1998 · 2 yrs 3 mos
Natcity Investments, INC.Broker
July 1995 - February 2001 · 5 yrs 7 mos
Raffensperger, Hughes & CO., INC.Broker
April 1990 - July 1995 · 5 yrs 3 mos
Robert W. Baird & CO. IncorporatedBroker
November 1989 - April 1990 · 5 mos
Nml Equity Services, INC.Broker
November 1989 - April 1990 · 5 mos
K. J. Brown & CO., INC.Broker
April 1983 - March 1989 · 5 yrs 11 mos
State Registrations17 states
AZCOFLGAILINKYMDMIMONCOHORPASDTNVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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James Hart - Financial Advisor | TrueAdvisor