John B. Hardy
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.
John Basil Hardy III, who also goes by John Basil III Hardy, Tripp Hardy, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2003 - March 14, 2024
GALLATIN CAPITAL LLC
August 20, 1998 - January 18, 2001
GOLDMAN SACHS & CO. LLC
July 23, 1991 - July 11, 1994
MARSH & MCLENNAN SECURITIES CORPORATION
April 11, 1988 - August 23, 1989
LEHMAN BROTHERS INC.
February 9, 1988 - April 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
GALLATIN CAPITAL LLC
CRD#: 124738 / SEC#: , 8-65718
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
