Kimberly P. Hardaker
Professional summary
Kimberly Pine Hardaker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kimberly is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Kimberly had worked at 6 firms, which includes SYNDICATED CAPITAL INC., A.G.P. / ALLIANCE GLOBAL PARTNERS, ROTH CAPITAL PARTNERS LLC, PACIFIC SUMMIT SECURITIES, L.H. FRIEND WEINRESS FRANKSON & PRESSON LLC, INTERNATIONAL ASSETS ADVISORY LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2005 - October 11, 2006
SYNDICATED CAPITAL, INC.
June 29, 2004 - January 11, 2005
A.G.P. / ALLIANCE GLOBAL PARTNERS
February 22, 1999 - July 14, 2004
ROTH CAPITAL PARTNERS, LLC
March 5, 1993 - February 22, 1999
PACIFIC SUMMIT SECURITIES
October 29, 1990 - February 17, 1993
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC
May 25, 1988 - November 20, 1990
INTERNATIONAL ASSETS ADVISORY, LLC
Primary Firm SEC Registration
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
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
Current Firm
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SC ADD HOLDINGS, LLC | OWNER | |
| BAINES AND MCADAMS LIVING TRUST | OWNER | |
| BAINES, HEATHER UNA | TRUSTEE OF BAINES & MCADAMS LIVING TRUST | 2173889 |
| LEE, FAITH | PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | 2715226 |
| MCADAMS, JOSEPH LLOYD JR | SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST | 2173886 |
| THORNTON, STEVEN LEE | FINANCIAL AND OPERATIONS PRINCIPAL | 4496384 |
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 122,987,781 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
