Kenton 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.
Kenton Bert Hardy was a registered financial professional .
Kenton is a previously registered financial professional and started their career in finance in 1989. Kenton had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2009 - October 18, 2017
HARRISDIRECT LLC
August 9, 2006 - October 18, 2017
E*TRADE SECURITIES LLC
June 28, 2005 - July 12, 2006
MSI FINANCIAL SERVICES, INC.
June 27, 2005 - July 12, 2006
METROPOLITAN LIFE INSURANCE COMPANY
June 27, 2005 - July 12, 2006
MSI FINANCIAL SERVICES, INC.
July 7, 2004 - May 26, 2005
MONY SECURITIES CORPORATION
May 20, 2004 - May 26, 2005
MONY SECURITIES CORPORATION
November 6, 2001 - May 20, 2004
PRUCO SECURITIES, LLC.
January 25, 2001 - May 20, 2004
PRUCO SECURITIES, LLC.
December 24, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 24, 1990 - September 20, 2000
PRUCO SECURITIES, LLC.
December 20, 1989 - November 21, 1990
KOBER FINANCIAL CORP.
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
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
