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DH

David L. Hardy

Some features on this profile are disabled
CRD#: 4458464
DH

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.

David Lee Hardy was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2001. David had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 12, 2026 - March 17, 2026

FIRST COMMAND BROKERAGE SERVICES, INC.

BD
CRD#: 3641
JACKSONVILLE, NC
Past

February 11, 2026 - March 17, 2026

FIRST COMMAND ADVISORY SERVICES

RIA
CRD#: 281958
Jacksonville, NC
Past

March 7, 2022 - May 1, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
JACKSONVILLE, NC
Past

March 7, 2022 - May 1, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
JACKSONVILLE, NC
Past

July 1, 2019 - March 8, 2022

EDWARD JONES

RIA
CRD#: 250
SWANSBORO, NC
Past

June 14, 2019 - March 8, 2022

EDWARD JONES

BD
CRD#: 250
SWANSBORO, NC
Past

June 20, 2016 - November 8, 2017

W&S BROKERAGE SERVICES, INC.

BD
CRD#: 8099
KINSTON, NC
Past

July 20, 2006 - March 23, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MOREHEAD CITY, NC
Past

July 20, 2006 - March 23, 2016

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MOREHEAD CITY, NC
Past

September 23, 2005 - July 19, 2006

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
MOREHEAD CITY, NC
Past

December 6, 2001 - July 19, 2006

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
MOREHEAD CITY, NC

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/29/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/28/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/8/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/5/2001
General Securities Representative Examination

Current Firm

FC
FIRST COMMAND BROKERAGE SERVICES, INC.
FIRST COMMAND ADVISORY SERVICES | UNITED SERVICES PLANNING ASSOCIATION, INC. | FIRST COMMAND INSURANCE SERVICES INC. | FIRST COMMAND FINANCIAL SERVICES, INC. | FIRST COMMAND FINANCIAL PLANNING, INC. | FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641 / SEC#: , 8-7072

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

Main Address
1 Firstcomm Plaza, Fort Worth, TX 76109
Mailing Address
P.o. Box 2387, Fort Worth, TX 76113
Phone number
(817) 731-8621
Established
Texas since 11/24/1958
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
FIRST COMMAND FINANCIAL SERVICES, INC.STOCKHOLDER/OWNER
CADDELL, TINA KATHERINEVICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER3041675
CERBONE, HEIDI ELIZABETHVICE PRESIDENT AND TREASURER5734664
CHARTAN, ERICSENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER4809520
GRIFFIN, CASEY JAMESSENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER3124214
HUBKA, MEEGHAN LYNNEVICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP)5859322
RICHTER, KELLEEN MARIEEXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER2098017
SMITH, FRANK DEANSENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER6005160
STEFFE, MARK DUANEPRESIDENT/CEO2204689

Disclosures

Regulatory Event5
Arbitration3

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

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

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