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MH

Michael L. Hardin

Some features on this profile are disabled
CRD#: 6875468
MH

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.

Michael L Hardin was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2018. Michael had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

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

March 12, 2021 - April 2, 2021

TRANSITIONAL BROKER LLC

BD
CRD#: 304313
DRAPER, UT
Past

December 2, 2019 - July 27, 2020

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
DRAPER, UT
Past

June 13, 2018 - December 3, 2019

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
SO. JORDAN, UT

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
Series 63
Date: 6/27/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/13/2018
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TB
TRANSITIONAL BROKER LLC
TRANSITIONAL ADVISOR | TRANSITIONAL BROKER, LLC | TRANSITIONAL BROKER LLC | TRANSITIONAL BROKER

CRD#: 304313 / SEC#: , 8-70353

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

Main Address
11650 S. State Street, Suite 200, Draper, UT 84020
Mailing Address
11650 S. State Street, Suite 200, Draper, UT 84020
Phone number
(801) 855-8886
Established
Utah since 05/09/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 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#
DAVID WM. JAMES, LLCOWNER
JAMES, DAVID WILLIAMCHIEF OPERATIONS OFFICER, CFO & PRINCIPAL1241412
MYERS, BRAD JEDDCHIEF COMPLIANCE OFFICER4171462
THORNTON, STEVEN LEEFINOP PRINCIPAL4496384

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

TRANSITIONAL BROKER LLC

CRD#: 304313

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