Deborah E. 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.
Deborah Elizabeth Hardy, who also goes by Deborah Elizabeth Eyerman, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 2000. Deborah had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2024 - April 2, 2026
RAYMOND JAMES & ASSOCIATES, INC.
August 28, 2024 - April 2, 2026
RAYMOND JAMES & ASSOCIATES, INC.
November 30, 2017 - August 29, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 18, 2017 - August 29, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 23, 2017 - August 1, 2017
CROWN CAPITAL SECURITIES, L.P.
January 8, 2015 - December 6, 2016
EDWARD JONES
October 7, 2014 - December 3, 2014
EDWARD JONES
January 15, 2014 - October 6, 2014
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
October 17, 2011 - March 13, 2013
VALMARK SECURITIES, INC.
November 9, 2010 - September 7, 2011
BMO HARRIS FINANCIAL ADVISORS, INC.
October 1, 2007 - June 25, 2009
CHASE INVESTMENT SERVICES CORP.
July 26, 2000 - June 12, 2007
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| KONEFAL, RICHARD EUGENE | DIRECTOR | 2431960 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,143,145 |
| AUM (Assets Under Management) | $ 500,955,604,975 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
