AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JH

Joseph D. Hardee

EXCELSIOR ADVISOR NETWORK LLC
Miami Beach, FL 33139
Some features on this profile are disabled
CRD#: 1688245
JH

Professional summary

Joseph D Hardee, who also goes by Dudley Joseph Hardee, Joe D Hardee, Joseph Dudley Hardee, is a registered financial advisor currently at EXCELSIOR ADVISOR NETWORK LLC located in Miami Beach, Florida and THE LEADERS GROUP, INC. located in Miami Beach, Florida.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dudley Joseph Hardee | Joe D Hardee | Joseph Dudley Hardee

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph D Hardee's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 13, 2025 - Present

EXCELSIOR ADVISOR NETWORK LLC

Office #1: 1111 Lincoln Road Suite 500, Miami Beach, FL 33139
RIA
CRD#: 334779
Miami Beach, FL
Current

March 13, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 1111 Lincoln Road Suite 500, Miami Beach, FL 33139
BD
CRD#: 37157
Miami Beach, FL
Past

December 5, 2016 - April 1, 2025

MORGAN STANLEY

RIA
CRD#: 149777
New York, NY
Past

June 1, 2009 - April 1, 2025

MORGAN STANLEY

BD
CRD#: 149777
New York, NY
Past

March 27, 1997 - March 6, 2003

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

March 27, 1997 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 24, 1987 - April 7, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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".
EA
EXCELSIOR ADVISOR NETWORK LLC
BV PRIVATE WEALTH | VISTA WEALTH MANAGEMENT OF SCOTTSDALE, LLC | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT

CRD#: 334779 / SEC#: 801-132014

RIA
Registered Investment Advisory firm - (3/4/2025 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
Colorado
(3/13/2025)
IAR
Colorado
(12/10/2025)
RR
Connecticut
(3/13/2025)
RR
Florida
(9/11/2025)
IAR
Florida
(12/10/2025)
RR
New York
(3/13/2025)
IAR
New York
(3/13/2025)
RR
Oklahoma
(3/13/2025)
RR
Texas
(3/13/2025)
IAR
Texas
(3/14/2025)
RR
Utah
(3/13/2025)
RR
Virginia
(3/13/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/5/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/29/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/3/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/1987
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EA
EXCELSIOR ADVISOR NETWORK LLC
BV PRIVATE WEALTH | VISTA WEALTH MANAGEMENT OF SCOTTSDALE, LLC | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT

CRD#: 334779 / SEC#: 801-132014

RIA
Registered Investment Advisory firm - (3/4/2025 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Denver, CO
Mailing Address
Po Box 6195, Denver, CO 80206
Phone number
(303) 351-6436
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (11/5/2025)

Regulatory assets under management

Total Number of Accounts78
AUM (Assets Under Management)$ 150,007,226

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

EXCELSIOR ADVISOR NETWORK LLC

CRD#: 334779Miami Beach, FL 33139

TRUST BUT VERIFY

Monitor Joseph Hardee

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Noah Philip Alweiss
Noah AlweissAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Miami, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.