Andrew M. Hardy

ITHAX FINANCIAL LLC

ROCKY RIVER, OH 44116

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CRD#: 7335314

Professional summary

Andrew Michael Hardy is a registered financial advisor currently at ITHAX FINANCIAL LLC located in Rocky River, Ohio.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Andrew has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.

1) Key Realty, LTD; Avon Lake, OH; Real estate sales agent; 07/2022; 5 hrs per month; 0 hrs during trading; Sales. 2) ALMA Group LLC; 825 Horseshoe Way Avon Lake, OH 44012; Owner/landlord; 06/2021; 1 hr per month; 0 hrs during trading; Landlord. 3) Hardy Brother RE I LLC; Avon Lake, OH 44012; Owner/landlord; 07/2022; 5 hr per month; 0 hrs during trading; Landlord.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Michael Hardy's 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

January 12, 2022 - Present

ITHAX FINANCIAL LLC

Office #1: 20006 Detroit Road Suite 304, Rocky River, OH 44116

RIA

CRD#: 317697

ROCKY RIVER, OH

Past

March 15, 2021 - September 27, 2021

LPL FINANCIAL LLC

CRD#: 6413

BRECKSVILLE, OH

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

Ohio
(1/12/2022)

IAR

Pennsylvania
(3/25/2022)

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

IAR

Series 66

Date: 5/8/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/15/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/23/2020

Securities Industry Essentials Examination

Current Firm

ITHAX FINANCIAL LLC

CRD#: 317697 / SEC#:

Ohio

Registered Investment Advisory firm - (1/12/2022 Approved)

Pennsylvania

Registered Investment Advisory firm - (3/25/2022 Approved)

Texas

Registered Investment Advisory firm - (8/29/2022 Conditional Restricted)

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Contact information

Main Address

20006 Detroit Road Suite 304, Rocky River, OH 44116

Mailing Address

Phone number

(440) 781-7903

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	200
AUM (Assets Under Management)	$ 21,100,000

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.

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Andrew M. Hardy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Michael Hardy's CRS (Customer Relationship Summary).

Certified licenses

Experience

ITHAX FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/8/2021

Series 7TO

Date: 3/15/2021

SIE

Date: 10/23/2020

Current Firm

ITHAX FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ITHAX FINANCIAL LLC

TRUST BUT VERIFY

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