James M. Hard

SARA-BAY FINANCIAL

Sarasota, FL 34232

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CRD#: 236707

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Hard'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®

None

Experience

Current

March 11, 2020 - Present

SARA-BAY FINANCIAL CORP.

Office #1: 2201 Cantu Court Suite 102, Sarasota, FL 34232

RIA

CRD#: 133443

Sarasota, FL

Past

December 18, 2003 - December 31, 2009

NORTHEAST SECURITIES, LLC

CRD#: 25996

SARASOTA, FL

Past

March 20, 2001 - February 18, 2004

NRP FINANCIAL, INC.

CRD#: 103717

BRYAN, OH

Past

March 18, 1998 - December 31, 2019

SARA-BAY FINANCIAL CORP.

RIA

CRD#: 133443

SARASOTA, FL

Past

May 23, 1996 - March 12, 2001

MIDSOUTH CAPITAL, INC.

CRD#: 35039

ATLANTA, GA

Past

October 28, 1993 - May 29, 1996

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

September 4, 1990 - October 14, 1993

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 22, 1987 - September 4, 1990

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

October 10, 1983 - August 13, 1987

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

July 16, 1980 - November 10, 1983

MORGAN STANLEY DW INC.

CRD#: 7556

Past

November 26, 1979 - August 16, 1980

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 18, 1978 - November 26, 1979

LOEB PARTNERS

CRD#: 7534

Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

CRD#: 7502

Past

December 10, 1975 - January 4, 1977

LOEB, RHOADES & CO. INC.

CRD#: 525

Past

February 22, 1971 - December 28, 1975

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Past

October 5, 1970 - May 6, 1971

GOODBODY & CO. INCORPORATED

CRD#: 362

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".

SARA-BAY FINANCIAL CORP.

NO COMMISSION ANNUITY | SARA-BAY FINANCIAL CORP.

CRD#: 133443 / SEC#: 801-79508

RIA

Registered Investment Advisory firm - (4/21/2014 Approved)

Florida

Registered Investment Advisory firm - (4/23/2014 Terminated)

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.

Highlighted states indicate IAR registrations

IAR

Florida
(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

State Security Law Exam

IAR

Series 65

Date: 12/1/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/18/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 5/27/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 2/19/1993

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 12/12/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 1/14/1981

AMEX Put and Call Exam

General Industry/Product Exam

Series 000

Date: 6/1/1968

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 5/29/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/10/1996

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/10/1996

Registered Options Principal Examination

Principal/Supervisory Exam

Series 8

Date: 12/4/1992

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

Current Firm

SARA-BAY FINANCIAL CORP.

NO COMMISSION ANNUITY | SARA-BAY FINANCIAL CORP.

CRD#: 133443 / SEC#: 801-79508

RIA

Registered Investment Advisory firm - (4/21/2014 Approved)

Florida

Registered Investment Advisory firm - (4/23/2014 Terminated)

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Contact information

Main Address

2201 Cantu Court Suite 102, Sarasota, FL 34232

Mailing Address

Phone number

(941) 371-8027

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MIKE HARD SUPPLEMENT (1/28/2025)

DISCLOSURE BROCHURE 1-1-2020 AMENDED 7-17-20, AMENDED 2-3-2023 (1/28/2025)

JAMES CHRISTOPHER MILLS (1/28/2025)

BEN HARD SUPPLEMENT (1/28/2025)

Regulatory assets under management

Total Number of Accounts	848
AUM (Assets Under Management)	$ 318,307,523

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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Firm Stability Insights

James M. Hard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Hard's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHEAST SECURITIES, LLC

NRP FINANCIAL, INC.

SARA-BAY FINANCIAL CORP.

MIDSOUTH CAPITAL, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

PRESCOTT, BALL & TURBEN, INC.

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

LOEB PARTNERS

LOEB RHOADES & CO. INC.

LOEB, RHOADES & CO. INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

GOODBODY & CO. INCORPORATED

Primary Firm SEC Registration

SARA-BAY FINANCIAL CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/2005

Series 63

Date: 5/18/1983

Series 55

Date: 5/27/2004

Series 3

Date: 2/19/1993

Series 5

Date: 12/12/1981

PC

Date: 1/14/1981

Series 000

Date: 6/1/1968

Series 1

Date: 5/29/1968

Series 24

Date: 6/10/1996

Series 4

Date: 6/10/1996

Series 8

Date: 12/4/1992

Current Firm

SARA-BAY FINANCIAL CORP.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SARA-BAY FINANCIAL CORP.

TRUST BUT VERIFY

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