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BH

Brian C. Hardiman

JEFFERIES LLC
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 4285358
BH

Professional summary

Brian Clarke Hardiman, who also goes by Hardiman Clarke Brian Clarke, is a registered financial professional currently at JEFFERIES LLC located in Boston, Massachusetts.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hardiman Clarke Brian Clarke

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) - BD

Click below to view Brian Clarke Hardiman'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 20, 2009 - Present

JEFFERIES LLC

Office #1: 125 High Street Suite 2501, Boston, MA 02110
BD
CRD#: 2347
BOSTON, MA
Past

October 29, 2004 - March 11, 2009

UBS SECURITIES LLC

BD
CRD#: 7654
BOSTON, MA
Past

January 12, 2004 - November 1, 2004

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
STAMFORD, CT
Past

April 4, 2002 - January 12, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

November 29, 2000 - March 21, 2002

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(3/20/2009)
RR
Alaska
(3/20/2009)
RR
Arizona
(3/20/2009)
RR
Arkansas
(3/20/2009)
RR
California
(3/20/2009)
RR
Colorado
(3/20/2009)
RR
Connecticut
(3/20/2009)
RR
Delaware
(3/20/2009)
RR
District of Columbia
(3/20/2009)
RR
Florida
(3/20/2009)
RR
Georgia
(3/20/2009)
RR
Hawaii
(3/20/2009)
RR
Idaho
(3/20/2009)
RR
Illinois
(3/20/2009)
RR
Indiana
(3/20/2009)
RR
Iowa
(3/20/2009)
RR
Kansas
(3/20/2009)
RR
Kentucky
(3/20/2009)
RR
Louisiana
(3/20/2009)
RR
Maine
(3/20/2009)
RR
Maryland
(3/20/2009)
RR
Massachusetts
(3/20/2009)
RR
Michigan
(3/20/2009)
RR
Minnesota
(3/20/2009)
RR
Mississippi
(3/20/2009)
RR
Missouri
(3/20/2009)
RR
Montana
(3/20/2009)
RR
Nebraska
(3/20/2009)
RR
Nevada
(3/20/2009)
RR
New Hampshire
(3/20/2009)
RR
New Jersey
(3/20/2009)
RR
New Mexico
(3/20/2009)
RR
New York
(3/20/2009)
RR
North Carolina
(3/20/2009)
RR
North Dakota
(3/20/2009)
RR
Ohio
(3/20/2009)
RR
Oklahoma
(3/20/2009)
RR
Oregon
(3/20/2009)
RR
Pennsylvania
(3/20/2009)
RR
Puerto Rico
(3/20/2009)
RR
Rhode Island
(3/20/2009)
RR
South Carolina
(3/20/2009)
RR
South Dakota
(3/20/2009)
RR
Tennessee
(6/30/2015)
RR
Texas
(3/20/2009)
RR
Utah
(3/20/2009)
RR
Vermont
(3/20/2009)
RR
Virginia
(3/20/2009)
RR
Washington
(3/20/2009)
RR
West Virginia
(3/20/2009)
RR
Wisconsin
(3/20/2009)
RR
Wyoming
(3/20/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 1/13/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/17/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/28/2000
General Securities Representative Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

JL
JEFFERIES LLC
JEFFERIES & COMPANY, INC. | JEFFERIES LLC

CRD#: 2347 / SEC#: , 8-15074

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
520 Madison Avenue, New York, NY 10022
Mailing Address
520 Madison Avenue 16th Floor, New York, NY 10022
Phone number
(212) 284-2300
Established
Delaware since 03/01/2013
Firm type
Limited Liability Company
Fiscal year end
November
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JEFFERIES FINANCIAL GROUP INCDIRECT OWNER
CAGNO, MARK LAWRENCEGLOBAL CONTROLLER, MANAGING DIRECTOR2510148
FISCELLA, MICHAEL EUGENEGLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR2490187
FORLENZA, PETER CHARLESGLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR2366985
FRIEDMAN, BRIAN PAULDIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE1298550
HANDLER, RICHARD BRIANCHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR1563245
LARSON, MATTHEW SCOTTEXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER2605152
SCORAN, LAURI ACHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR2060170
SHARP, MICHAEL JAMESGENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT1013864
STACCONI, JOHN FRANCOTREASURER1814227

Disclosures

Regulatory Event133
Arbitration4

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.

Company Information

JEFFERIES LLC

CRD#: 2347Boston, MA 02110

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