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James Hart

Raymond James Financial Services Advisors, INC
43 Years of Experience
Vero Beach, FL
1 DisclosureBroker
View SEC Summary
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James Hart is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Vero Beach, FL, with 43 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 Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

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

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

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

Location

623 17th Street, #4, Vero Beach, FL, 32960

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History

Regulatory History (1)
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
January 1998
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
September 2012 - Present · 14 yrs 1 mo
Raymond James Financial Services, INC.
August 2012 - Present · 14 yrs 2 mos
Raymond James Financial Services, INC.Broker
August 2012 - Present · 14 yrs 2 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - September 2012 · 3 yrs 3 mos
Morgan Stanley Smith Barney LLC
June 2009 - September 2012 · 3 yrs 3 mos
Morgan Stanley & CO. Incorporated
October 2008 - June 2009 · 8 mos
Morgan Stanley & CO. IncorporatedBroker
March 2008 - June 2009 · 1 yr 3 mos
Wachovia Securities, LLC
July 2003 - March 2008 · 4 yrs 8 mos
Wachovia Securities, LLCBroker
July 2003 - March 2008 · 4 yrs 8 mos
Prudential Securities Incorporated
February 2000 - July 2003 · 3 yrs 5 mos
Prudential Securities IncorporatedBroker
January 2000 - July 2003 · 3 yrs 6 mos
Salomon Smith Barney INC.Broker
July 1993 - January 2000 · 6 yrs 6 mos
Lehman Brothers INC.Broker
June 1993 - July 1993 · 1 mo
First Albany CorporationBroker
February 1990 - April 1993 · 3 yrs 2 mos
Invest Financial CorporationBroker
March 1987 - February 1990 · 2 yrs 11 mos
Dean Witter Reynolds INC.Broker
July 1983 - February 1987 · 3 yrs 7 mos
State Registrations8 states
AZFLNCNHNJPARIVA
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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