James Michael Hard
Professional Summary
James Michael Hard is a registered financial advisor currently at SARA-BAY FINANCIAL CORP. located in Sarasota, Florida. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. James has worked at 15 firms and has passed the Series 65, Series 63, Series 55, Series 3, Series 5, PC, Series 000, Series 1, Series 24, Series 4 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
58 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
NO COMMISSION ANNUITY | SARA-BAY FINANCIAL CORP.
Contact Information
Main Address
2201 Cantu Court Suite 102, Sarasota, FL 34232Phone Number
(941) 371-8027# of Employees
5SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
924AUM (Assets Under Management)
$396,759,556Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
NO COMMISSION ANNUITY | SARA-BAY FINANCIAL CORP.
State Registrations and Notice Filings
(3/11/2020)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed May 2004Series 5 — Interest Rate Options Examination
Passed Dec 1981PC — AMEX Put and Call Exam
Passed Jan 1981Series 000 — General Securities Principal Examination
Passed Jun 1968Series 1 — Registered Representative Examination
Passed May 1968Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1992Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view James Michael Hard's CRS (Customer Relationship Summary).
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