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Carl Lavern Hart

LPl Financial LLC

Gadsden, AL

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2023-02-23
  • AL RA
    APPROVED
    Since 2023-02-23

Branch Locations

400 Duncan Street, Gadsden, AL 35901 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Summit Brokerage Services Tampa FL 08/2013 09/2019
Summit Financial Group Inc Tampa FL 08/2013 05/2021
Cetera Advisor Networks Llc El Segundo CA 09/2019 02/2023
The Money Coach Dba Money Matters Gadsden AL 11/2014 Present
Lpl Financial Llc Gadsden AL 02/2023 Present
  • 08/2013 → 09/2019
    Summit Brokerage Services
    Tampa, FL
  • 08/2013 → 05/2021
    Summit Financial Group Inc
    Tampa, FL
  • 09/2019 → 02/2023
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 11/2014 → Present
    The Money Coach Dba Money Matters
    Gadsden, AL
  • 02/2023 → Present
    Gadsden, AL
Previous Registrations
  • 2021-03-12 → 2023-02-23
    Cetera Wealth Services, Llc
    Gadsden, AL
  • 2013-08-16 → 2021-05-20
    Summit Financial Group Inc
    Gadsen, AL
    Tampa, FL
  • 2008-05-20 → 2013-08-01
    Lutz, FL
  • 2006-05-16 → 2006-11-09
    Navigo, Llc
    Tampa, FL
  • 1995-05-04 → 2005-01-28
    Concourse Financial Group Securities, Inc.
    Tampa, FL
Other Businesses

1) 12/02/2022 - Money Matters of Alabama - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 12/02/2022 - Money Matters of Tampa - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 3) 12/02/2022 - Navigo, LLC - Business Entity For Tax/Investment Purposes Only - Gadsden AL 35901 - Non investment related - 2.5 Hours per month - Start date: 01/01/2015. 4) 12/02/2022 - Non-Variable Insurance, Trails Only - GADSDEN, AL 35901 - Investment related - 1 Hour per month - Start date: 07/01/2014.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-09-04
  • S63 Uniform Securities Agent State Law Examination
    2013-09-04
Designations

View on SEC IAPD

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