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Michael Hart Review

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Michael Hart, based in Lexington, KY, is an Investment Advisor with 8 years of experience. Michael is registered with Wallace Hart Capital Management, which provides investment advisory services for 171 clients.



Registration Questions


After checking the registration records of Michael Hart, our system has identified the following question(s) to ask. Learn more.

announcement Why did you choose to practice as an Investment Advisor?

Why ask? There are three types of financial advisors: Investment Advisors, Brokers, and Dually Registered professionals (advisors who operate as both a broker and an investment advisor). Financial professionals who practice solely as an Investment Advisor are considered true fiduciaries, just like doctors or lawyers, and have fewer conflicts of interest. 99.2% of all financial advisors barred from the industry have been either a broker or dually registered advisor. Learn more.

Our system found no other registration questions to ask. Checks take place monthly.


Regulatory Questions


After checking the regulatory records of Michael Hart, our system found no regulatory questions to ask. Checks take place monthly.

Next Step: Don’t forget! View the Wallace Hart Capital Management profile(s) for more questions to ask.



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Professional Summary


Michael Hart is a Investment Advisor registered with Wallace Hart Capital Management. There are three types of financial advisors: Investment Advisors, Brokers, and Dually Registered professionals (advisors who operate as both a broker and an investment advisor).

Financial advisors who practice solely as an Investment Advisor are considered true fiduciaries, just like doctors or lawyers, and have fewer conflicts of interest. 99.2% of all financial advisors barred from the industry have been either a broker or dually registered advisor. Learn more.


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Financial Advisor Value
First Name Michael
Last Name Hart
Type Investment Advisor
Education Bachelor’s Degree in Business Management at Wittenberg University, and Certificate in Financial Planning at Georgetown University
FINRA Active Previously (View Finra BrokerCheck CRD#6027005)
SEC Active Yes (View SEC IAPD CRD#6027005)
Office Address 1792 Alysheba Way #390, Lexington, KY 40509

Personal Bio


Andrew Hart is the co-founder and chief planning strategist at Wallace Hart Capital Management, an independent financial services firm committed to offering comprehensive advice and customized services. Andrew has 15 years of experience in the financial industry and strives to provide new and better strategies and processes to improve his clients’ lives.



Compensation Options Result
% Assets Ask Advisor
Fixed Ask Advisor
Hourly Ask Advisor
Commissions No

Certifications


Financial professional has not provided their certifications (e.g., CFP, CFA).




Regulatory History


Form U4 filings contain a list of valuable disclosures that are relevant for Americans. Based on the most recent filing of Michael Hart, investor.com identified the following regulatory disclosures.

Disclosure Result
Customer Disputes None
Terminations None
Financial Disclosures None
Judgment/Liens None
Regulatory Events None
Civil Events None
Criminal Disclosures None
Investigations None
Total Years Registered 8 years
Total Registered Employers 2


Wallace Hart Capital Management



Trusted Wallace Hart Capital Management, registered in 2017, is a Registered Investment Advisor (RIA) in 6 state(s) with a licensed staff of 4 advisors. Wallace Hart Capital Management manages $173.0 million and provides investment advisory services for 171 clients (1:43 advisor/client ratio).

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This automated report was generated using SEC and FINRA data and was last updated on August 8th, 2020*. For data support, email "support@investor.com". Views: 57 (trailing six months). Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.


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