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Carol Robinson Hardiman

CRD# 831061·Registered 1976 - 2018
Previously Registered: Being a previously registered professional could mean that Carol 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.

Professional Summary

Carol Robinson Hardiman, who also goes by Carol Ann Robinson, was a registered financial advisor. Carol was a previously registered financial professional and started their career in finance 1976 - 2018. Carol had worked at 6 firms and has passed the Series 65, SIE, Series 7, Series 1 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Carol Ann Robinson

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

49 years in the financial services industry

Current & Past Employments

PRONET FINANCIAL PARTNERS LLC·CRD# 154601
BD
Londonderry, NH
May 8, 2013 - December 27, 2018
OSAIC FA, INC.·CRD# 3978
BD
Fort Wayne, IN
June 8, 2006 - March 31, 2011
WINDWARD SECURITIES CORPORATION·CRD# 127716
BD
Concord, NH
December 1, 2003 - July 26, 2006
POLARIS FINANCIAL SERVICES, INC.·CRD# 14521
BD
Concord, NH
June 5, 2000 - March 23, 2001
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION·CRD# 5178
BD
Concord, NH
February 25, 1999 - May 25, 2010
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION·CRD# 5178
BD
Fort Wayne, IN
August 7, 1997 - September 30, 1997
OSAIC FS, INC.·CRD# 3870
BD
Concord, NH
December 16, 1976 - March 31, 2011

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Current Firm

PF
PRONET FINANCIAL PARTNERS LLC

PRONET FINANCIAL PARTNERS LLC | SUSSMAN FINANCIAL SERVICES, LLC | RC FINANCIAL SERVICES, LLC

CRD#: 154601 / SEC#: 8-68653
BD
Terminated by SEC on 04/30/2019

Contact Information

Established

New Hampshire since 06/28/2006

Firm Type

Limited Liability Company

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
SUSSMAN, STEPHEN JEFFREYMANAGER, CFO, CCO, EXECUTIVE REP2181860

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 1999About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 1981About the Series 7 exam

Series 1 — Registered Representative Examination

Passed Dec 1976

Series 24 — General Securities Principal Examination

Passed Apr 1981About the Series 24 exam

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CRS (Client Relationship Summary)

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

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