JH
John W. Hardy
CETERA INVESTMENT ADVISERS LLC
CLEMMONS, NC 27012
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CRD#: 1008867
JH
Professional summary
John Warren Hardy JR, who also goes by Jr John Warren Hardy, John Warren Herdy Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Clemmons, North Carolina and THE RETIREMENT PLANNING GROUP, LLC located in Greensboro, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. John has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jr John Warren Hardy | John Warren Herdy Jr
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
APX NUMBER OF HOURS PER WEEK: 0
APX NUMBER OF HOURS DURING TRADING HOURS: 0
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: RECEIVING TRAILS FOR PREVIOUSLY SOLD PRODUCTS, MAINTAINING AN ACTIVE INSURANCE LICENSE
2. NAME OF OTHER BUSINESS: HMC PARTNERS LLC
INVESTMENT RELATED: YES
ADDRESS: : SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: WEALTH MANAGEMENT, LLC FOR SECURITIES BUSINESS
START DATE: 2/2016
POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 40
BRIEF DESCRIPTION OF DUTIES: VICE PRESIDENT
3. NAME OF OTHER BUSINESS: FIRST BAPTIST CHURCH
INVESTMENT RELATED: NO
ADDRESS: 1000 W FRIENDLY AVE, GREENSBORO, NC 27401, GREENSBORO NC
NATURE OF BUSINESS: OVERSEEING ANNUAL BUDGET
START DATE: 7/2019
POSITION/TITLE/RELATIONSHIP: MEMBER OF FINANCE COMMITTEE
APX NUMBER OF HOURS PER WEEK: LESS THAN 1
APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1
BRIEF DESCRIPTION OF DUTIES: MEMBER OF FINANCE COMMITTEE
4. NAME OF OTHER BUSINESS: MONEY MATTERS PROPERTIES, LLC
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: HOLDING COMPANY FOR PROPERTY LOCATED AT 2010-D NEW GARDEN ROAD, GREENSBORO NC
START DATE: 3/11
POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT AND OWNER
APX NUMBER OF HOURS PER WEEK: LESS THAN 1
APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1
BRIEF DESCRIPTION OF DUTIES: : VICE PRESIDENT AND OWNER
5. NAME OF OTHER BUSINESS: HMC PARTNERS ;
INVESTMENT RELATED: YES ;
ADDRESS: 615 N TRADE ST, WINSTON, NC NC 27101 ;
NATURE OF BUSINESS: RADIO SHOW ;
START DATE: 12/2019 ;
POSITION/TITLE/RELATIONSHIP: CO-HOST
APX NUMBER OF HOURS PER WEEK: 2-3 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 2-3 ;
BRIEF DESCRIPTION OF DUTIES: RADIO SHOW FOR THE PURPOSE OF MARKETING SECURITIES BUSINESS TO THE PUBLIC ;
CRS (Client Relationship Summary) - RIA
Click below to view John Warren Hardy JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3540 Clemmons Rd Ste 129, Clemmons, NC 27012Office #2: 2010-d New Garden Road, Greensboro, NC 27410RIA
CRD#: 105644
CLEMMONS, NC
Current
September 22, 2025 - Present
THE RETIREMENT PLANNING GROUP, LLC
Office #1: 2010-d New Garden Road, Greensboro, NC 27410RIA
CRD#: 129625
GREENSBORO, NC
Current
November 27, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2010-d New Garden Road, Greensboro, NC 27410Office #2: 3540 Clemmons Rd Ste 129, Clemmons, NC 27012BD
CRD#: 13572
Greensboro, NC
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EDENTON, NC
Past
November 27, 2019 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
Greensboro, NC
Past
February 11, 2016 - November 27, 2019
INDEPENDENT ADVISOR ALLIANCE, LLC
RIA
CRD#: 168267
Greensboro, NC
Past
May 13, 2005 - February 12, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
GREENSBORO, NC
Past
May 13, 2005 - December 2, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
GREENSBORO, NC
Past
January 15, 2005 - May 16, 2005
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
GREENSBORO, NC
Past
May 5, 1993 - May 16, 2005
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
March 17, 1983 - May 3, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
March 17, 1983 - May 3, 1993
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/27/2019)
RR
Arizona(1/18/2024)
RR
Arkansas(11/27/2019)
RR
California(8/18/2023)
RR
Colorado(1/23/2020)
RR
Florida(11/27/2019)
RR
Georgia(11/27/2019)
RR
Illinois(6/13/2025)
RR
Indiana(9/13/2021)
RR
Iowa(11/27/2019)
RR
Kentucky(3/11/2024)
RR
Maryland(11/27/2019)
RR
Massachusetts(5/3/2024)
RR
Michigan(11/27/2019)
RR
Mississippi(1/3/2022)
RR
New Jersey(8/8/2023)
RR
New Mexico(9/27/2022)
RR
New York(8/8/2023)
RR
North Carolina(12/2/2019)
IAR
North Carolina(6/29/2023)
RR
Oklahoma(11/27/2019)
RR
Oregon(8/7/2023)
RR
Pennsylvania(11/27/2019)
RR
South Carolina(11/27/2019)
RR
Tennessee(11/27/2019)
RR
Texas(11/27/2019)
IAR
Texas(6/29/2023)
RR
Virginia(11/27/2019)
RR
Washington(6/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Clemmons, NC 27012TRUST BUT VERIFY
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