Michael W. Hardy

HORACE MANN INVESTORS

Springboro, OH 45066

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CRD#: 1989039

Professional summary

Michael Wallace Hardy, CFP®, who also goes by Mike Hardy, is a registered financial advisor currently at HORACE MANN INVESTORS, INC. located in Springboro, Ohio.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 6 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Hardy

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.Multiline insurance agent affiliated with Horace Mann Service Corp.; offering property, casualty, health and life products. 2. NOT APPLICABLE POSITION: Owner NATURE: Property ownership and management INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 8 START DATE: 10/12/2015 ADDRESS: 6646 Bluefield Ln, Mason OH 45040 DESCRIPTION: At this point I am planning to buy real estate property with the intent either to rent to tenants, lease to sell to tenants or to fix up the property to sell again. I may also buy real estate in order to allow a business to rent from me to operate an elder care facility.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Wallace Hardy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Wallace Hardy'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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

June 9, 2017 - Present

HORACE MANN INVESTORS, INC.

Office #1: 342 S Main Street, Springboro, OH 45066

RIA

CRD#: 11643

Springboro, OH

Current

July 10, 2015 - Present

HORACE MANN INVESTORS, INC.

Office #1: 342 S Main Street, Springboro, OH 45066

RIA

CRD#: 11643

Springboro, OH

Past

September 16, 2014 - December 26, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOVELAND, OH

Past

September 16, 2014 - January 13, 2015

LPL FINANCIAL LLC

CRD#: 6413

LOVELAND, OH

Past

November 27, 2013 - August 27, 2014

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

MASON, OH

Past

October 19, 2010 - December 3, 2010

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

CINCINNATI, OH

Past

June 4, 2010 - December 3, 2010

WORLD GROUP SECURITIES, INC.

CRD#: 114473

CINCINNATI, OH

Past

April 24, 2008 - June 2, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

CINCINNATI, OH

Past

April 23, 2008 - June 2, 2008

LPL FINANCIAL LLC

CRD#: 6413

CINCINNATI, OH

Past

July 24, 2006 - April 7, 2008

OSAIC FA, INC.

RIA

CRD#: 3978

CINCINNATI, OH

Past

July 20, 2006 - April 7, 2008

OSAIC FA, INC.

CRD#: 3978

CINCINNATI, OH

Past

October 6, 1989 - July 17, 2006

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BLUE ASH, OH

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".

HORACE MANN INVESTORS, INC.

CRD#: 11643 / SEC#: 801-80964, 8-6082

RIA

Registered Investment Advisory firm - SEC (2/23/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (10/21/2009 Terminated)

Georgia

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/29/2010 Terminated)

Indiana

Registered Investment Advisory firm - SEC (10/26/2009 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/26/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (7/30/2010 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Ohio

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (5/18/2009 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (11/20/2009 Terminated)

Virginia

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Indiana
(7/10/2015)

Kentucky
(7/10/2015)

Ohio
(7/10/2015)

IAR

Ohio
(6/9/2017)

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

Series 63

Date: 10/6/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/10/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/27/2013

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/25/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

HORACE MANN INVESTORS, INC.

CRD#: 11643 / SEC#: 801-80964, 8-6082

RIA

Registered Investment Advisory firm - SEC (2/23/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (10/21/2009 Terminated)

Georgia

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/29/2010 Terminated)

Indiana

Registered Investment Advisory firm - SEC (10/26/2009 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/26/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (7/30/2010 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Ohio

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (5/18/2009 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (11/20/2009 Terminated)

Virginia

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One Horace Mann Plaza, Springfield, IL 62715-0001

Mailing Address

One Horace Mann Plaza, Springfield, IL 62715-0001

Phone number

(217) 789-2500

Established

Maryland since 05/21/1957

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HMII ADV PART 2 BROCHURE MARCH 2024 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
HORACE MANN EDUCATORS CORPORATION (PUBLICLY HELD COMPANY)	CORPORATION - PARENT COMPANY
GARLATTI, JEFFREY	NATIONAL SALES MANAGER	5670941
GAYLE, TROY MARSHALL	TREASURER	5925156
MICHAEL, LINEA KATE	SECRETARY	5791549
TAYLOR, HOLLEY WATSON	PRESIDENT AND CHIEF COMPLIANCE OFFICER	4171040
TSAI, PHYLLIS	FINOP, PFO, POO	7200380

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Michael W. Hardy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Wallace Hardy's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Wallace Hardy's CRS (Customer Relationship Summary).

Certified licenses

Experience

HORACE MANN INVESTORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FARMERS FINANCIAL SOLUTIONS, LLC

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FA, INC.

OSAIC FA, INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

HORACE MANN INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/6/2014

Series 66

Date: 9/10/2010

SIE

Date: 10/1/2018

Series 7

Date: 10/8/2014

Series 6

Date: 11/27/2013

Series 8

Date: 3/25/1994

FINRA

Current Firm

HORACE MANN INVESTORS, INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HORACE MANN INVESTORS, INC.

TRUST BUT VERIFY

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