Clifford A. Hardesty
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.
Clifford Allen Hardesty, who also goes by Cliff Hardesty, was a registered financial advisor .
Clifford is a previously registered financial advisor and started their career in finance in 1992. Clifford had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2003 - June 23, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 16, 2002 - June 23, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 22, 2000 - November 26, 2002
RAYMOND JAMES & ASSOCIATES, INC.
September 22, 2000 - November 26, 2002
RAYMOND JAMES & ASSOCIATES, INC.
January 15, 1998 - September 25, 2000
LEGG MASON WOOD WALKER, INCORPORATED
March 20, 1995 - February 12, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
January 10, 1994 - December 31, 1994
PACIFIC CORTEZ SECURITIES INCORPORATED
December 21, 1993 - January 18, 1994
INTREPID SECURITIES, INC.
May 7, 1993 - September 20, 1993
PACIFIC CORTEZ SECURITIES INCORPORATED
August 12, 1992 - December 14, 1992
HART SECURITIES, 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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
