Joseph D. Hardee

EXCELSIOR ADVISOR NETWORK LLC

NEW YORK, NY 10019

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CRD#: 1688245

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 New York, New York and THE LEADERS GROUP, INC. located in Summit, New Jersey.

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.

1.) EXCELSIOR - 3/13/2025 - 393 Madsion Street, Denver, CO 80206 -CEO/Wealth Advisor, Run firm, advise clients, Invt Rel, RIA, 120 hrs/mo; 120 hrs/mo (during trading hours).

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: 1325 Avenue Of The Americas, New York, NY 10019

RIA

CRD#: 334779

NEW YORK, NY

Current

March 13, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

December 5, 2016 - April 1, 2025

MORGAN STANLEY

RIA

CRD#: 149777

New York, NY

Past

June 1, 2009 - April 1, 2025

MORGAN STANLEY

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.

CRD#: 7059

NEW YORK, NY

Past

June 24, 1987 - April 7, 1997

PRUDENTIAL EQUITY GROUP, LLC

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".

EXCELSIOR ADVISOR NETWORK LLC

BV PRIVATE WEALTH | 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.

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

Colorado
(3/13/2025)

Connecticut
(3/13/2025)

Florida
(9/11/2025)

New York
(3/13/2025)

IAR

New York
(3/13/2025)

Oklahoma
(3/13/2025)

Texas
(3/13/2025)

IAR

Texas
(3/14/2025)

Utah
(3/13/2025)

Virginia
(3/13/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/5/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/29/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/3/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EXCELSIOR ADVISOR NETWORK LLC

BV PRIVATE WEALTH | 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)

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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

SEC notice filing (8 States and Territories)

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 Accounts	78
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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Joseph D. Hardee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph D Hardee's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

EXCELSIOR ADVISOR NETWORK LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/2016

Series 63

Date: 6/29/1987

SIE

Date: 10/1/2018

Series 3

Date: 8/3/1987

Series 7

Date: 6/20/1987

FINRA

Current Firm

EXCELSIOR ADVISOR NETWORK LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EXCELSIOR ADVISOR NETWORK LLC

TRUST BUT VERIFY

Contact information

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