Stephen Harts has been an investment adviser representative at Collins Advisors since October 2026, and is not listed among the firm’s executive officers or direct owners.
Collins Advisors, LLC is a Buffalo, NY firm with $176M under management, 581 clients and 1 adviser in one office, as of its May 2026 filing.
Stephen Harts is Sr. Vice President of Collins Advisors, LLC. He joined the firm in May 2017, bringing 34 years of investment industry experience. Harts began his career in 1983 on Wall Street with the Pershing division of Donaldson, Lufkin, and Jenrette, and later spent 22 years with Harold C. Brown & Co, as Office Manager and Manager of Trading Operations and then Investment Advisor and Portfolio Manager.
- Collins Advisors, LLCCurrent– present · under a yearBuffalo, NY · Adviser representative · Firm CRD 129270
Investment adviser representative registrations
Stephen Harts is registered as an investment adviser representative in New York, since October 2026.
- New YorkSince 3 October 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 3 October 2026 |
| Series 24 | General Securities Principal Examination | 16 August 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 March 1995 |
| Series 7 | General Securities Representative Examination | 21 September 1993 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Stephen Loring Harts
- CRD
- 1162082
- Firm
- Collins Advisors · CRD 129270
- Office
- 610 MAIN STREET, SUITE 202, Buffalo, NY 14202
- Registration
- Investment adviser registration
- In the industry since
- October 2026
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- mlcollins.com
Where does Stephen Harts work?
Stephen Harts is an investment adviser representative registered through Collins Advisors, LLC since October 2026, and is not listed among the firm’s executive officers or direct owners.
Is Stephen Harts a financial advisor?
Yes. Stephen Harts has a current investment-adviser registration in New York, through Collins Advisors since October 2026.
How many years of experience does Stephen Harts have?
Stephen Harts has 0 years in the financial industry, since October 2026, across 1 adviser firm.
What exams has Stephen Harts passed?
Stephen Harts has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 65. The earliest, the Series 7, was passed in September 1993.
Where is Stephen Harts based?
Stephen Harts’ registered office is in Buffalo, NY.
Is Stephen Harts registered with FINRA?
No. Stephen Harts has no current broker registration.
How can I verify Stephen Harts’ record?
Search CRD 1162082 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Harts’ full registration record.
