Rory Jacob Dale Hart

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2016 → 02/2020
  Lpl Financial, Llc
  Irvine, CA
• 06/2016 → 06/2017
  Level Four Advisory Services
  Irvine, CA
• 06/2017 → 02/2020
  Wcg Wealth Advisors, Llc (Dba: The Wealth Consulting Group)
  Irvine, CA
• 03/2020 → 04/2021
  The Prudential Insurance Company Of America
  Irvine, CA
• 03/2020 → 04/2021
  Pruco Securities
  Irvine, CA
• 04/2021 → 11/2023
  Lincoln Financial Securities Corporation
  Newport Beach, CA
• 11/2023 → 07/2025
  Cadaret, Grant & Co., Inc.
  Dove Canyon, CA
• 07/2025 → Present
  Lpl Financial Llc
  Dove Canyon, CA

Previous Registrations

• 2023-11-30 → 2025-07-10
  Cadaret, Grant & Co., Inc.
  Dove Canyon, CA
  Syracuse, NY
• 2021-04-14 → 2023-11-30
  Osaic Fs, Inc.
  Dove Canyon, CA
  San Carlos, CA
  San Carlos, CA
• 2020-03-05 → 2021-04-21
  Pruco Securities, Llc.
  Irvine, CA
• 2016-06-30 → 2020-03-11
  Lpl Financial Llc
  Irvine, CA
  Newport Beach, CA
  Huntington Beach, CA
• 2017-06-26 → 2020-02-27
  The Wealth Consulting Group
  Huntington Beach, CA
  Las Vegas, NV
• 2016-06-29 → 2017-07-05
  Level Four Advisory Services
  Irvine, CA
  Dallas, TX
• 2014-11-25 → 2016-12-08
  Financial Management Network Inc
  Mission Viejo, CA
• 2013-02-15 → 2014-11-21
  United Capital Financial Advisors
  Irvine, CA
• 2012-01-30 → 2013-07-10
  Pence Wealth Management, Inc.
  Newport Beach, CA
• 2010-01-21 → 2013-03-06
  Lpl Financial Llc
  Newport Beach, CA
  Irvine, CA
  Torrance, CA
  Newport Beach, CA

Other Businesses

1- 07/2025 - Riley-Hart Capital Inc. - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2019 - 2 hours per month/ during trading 2- 07/2025 - TruWest Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/05/2021 - 158 hours per month/ 140 hours during trading 3- 07/2025 - TruWest Wealth Management - Property and Casualty - Not Investment Related - At Reported Business Location(s) - Start Date 04/05/2021- 150 hours per month/ 130 hours during trading 4- 07/2025 - TruWest Wealth Management - Non-Variable Insurance - Not Investment Related - At Reported Business Location(s) - Start Date 04/05/2021- 150 hours per month/ 130 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2010-01-20
• S63 Uniform Securities Agent State Law Examination
  2007-09-10
• S65 Uniform Investment Adviser Law Examination
  1999-11-09

Other Names

• Rory Jacob Dale Hart