Randolph C. Hardy

CLUNE & ASSOCIATES

CHICAGO, IL 60611

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CRD#: 4736108

Professional summary

Randolph C Hardy, CFP® is a registered financial advisor currently at CLUNE & ASSOCIATES located in Chicago, Illinois.

Randolph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Randolph has worked at 5 firms and has passed the Series 63, Series 7 and Series 24 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 Randolph C Hardy'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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

September 3, 2009 - Present

CLUNE & ASSOCIATES

Office #1: 980 N Michigan Avenue Ste 1320, Chicago, IL 60611

RIA

CRD#: 104708

CHICAGO, IL

Past

September 4, 2009 - December 19, 2013

CHAUNER SECURITIES, INC.

CRD#: 10075

CHICAGO, IL

Past

September 29, 2004 - July 31, 2009

LWI FINANCIAL INC.

RIA

CRD#: 111861

LOS ANGELES, CA

Past

July 8, 2004 - September 30, 2004

LORING WARD CAPITAL MANAGEMENT INC.

RIA

CRD#: 109045

LOS ANGELES, CA

Past

April 5, 2004 - August 4, 2009

LORING WARD SECURITIES INC.

CRD#: 46337

SAN JOSE, CA

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".

CLUNE & ASSOCIATES

CLUNE & ASSOCIATES | CLUNE & ASSOCIATES, LTD.

CRD#: 104708 / SEC#: 801-34937

RIA

Registered Investment Advisory firm - (8/4/1989 Approved)

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

Illinois
(9/3/2009)

IAR

Texas
(4/3/2019)

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

Series 63

Date: 4/17/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/2/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/5/2009

General Securities Principal Examination

Current Firm

CLUNE & ASSOCIATES

CLUNE & ASSOCIATES | CLUNE & ASSOCIATES, LTD.

CRD#: 104708 / SEC#: 801-34937

RIA

Registered Investment Advisory firm - (8/4/1989 Approved)

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Contact information

Main Address

980 N Michigan Avenue Ste 1320, Chicago, IL 60611

Mailing Address

Phone number

(312) 644-6040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-05-08 CLUNE & ASSOCIATES FORM ADV PART 2A (5/8/2025)

Regulatory assets under management

Total Number of Accounts	810
AUM (Assets Under Management)	$ 630,126,974

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Randolph C. Hardy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randolph C Hardy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHAUNER SECURITIES, INC.

LWI FINANCIAL INC.

LORING WARD CAPITAL MANAGEMENT INC.

LORING WARD SECURITIES INC.

Primary Firm SEC Registration

CLUNE & ASSOCIATES

State Registrations and Notice Filings

Exams

Series 63

Date: 4/17/2004

Series 7

Date: 4/2/2004

Series 24

Date: 5/5/2009

Current Firm

CLUNE & ASSOCIATES

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLUNE & ASSOCIATES

TRUST BUT VERIFY

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