Robert A. Hardies
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Alexander Hardies, who also goes by Bob Hardies, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2010 - August 28, 2019
F&PA
September 18, 2007 - August 14, 2019
SPC
June 23, 1993 - August 14, 2019
SIGMA FINANCIAL CORPORATION
December 23, 1992 - July 19, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
November 23, 1987 - December 23, 1992
USA FINANCIAL GROUP, INC.
March 20, 1986 - November 20, 1987
MUTUAL SERVICE CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
F&PA
CRD#: 124730 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 57 |
| AUM (Assets Under Management) | $ 2,208,252 |
Red Flags
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