Jeremy P. Hardisty
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.
Jeremy Paul Hardisty was a registered financial professional .
Jeremy is a previously registered financial professional and started their career in finance in 1993. Jeremy had worked at 8 firms and has passed the Series 63, Series 87, Series 86, Series 7, Series 17, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2012 - January 2, 2013
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
September 11, 2009 - February 27, 2012
NATWEST MARKETS SECURITIES INC.
August 17, 2009 - September 11, 2009
ABN AMRO INCORPORATED
January 28, 2009 - August 17, 2009
PANMURE LIBERUM INC
June 29, 1998 - March 9, 2005
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
June 3, 1996 - September 2, 1997
SBC WARBURG, INC.
March 22, 1993 - June 3, 1996
S.G. WARBURG & CO. 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 17
Date: 3/22/1993
Limited Registered Representative ExaminationSeries 8
Date: 5/4/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
CRD#: 8010 / SEC#: , 8-24050
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
Red Flags
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