Andrew S. Hardie
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.
Andrew Scott Hardie was a registered financial advisor .
Andrew is a previously registered financial advisor and started their career in finance in 1987. Andrew had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2017 - October 25, 2017
IFS SECURITIES
May 28, 2017 - July 24, 2017
CABOT LODGE SECURITIES LLC
April 30, 2015 - July 31, 2017
WILBANKS SECURITIES, INC.
September 16, 2010 - April 22, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 12, 2010 - August 12, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 12, 2010 - April 22, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 1, 2008 - September 2, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - September 2, 2010
WELLS FARGO CLEARING SERVICES, LLC
February 28, 1992 - January 1, 2008
A. G. EDWARDS & SONS, INC.
December 8, 1987 - January 3, 2008
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
IFS SECURITIES
CRD#: 40375 / SEC#: , 8-49020
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Financial | 1 |
Red Flags
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