Carol R. Hardiman
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.
Carol Robinson Hardiman, who also goes by Carol Ann Robinson, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1976. Carol had worked at 6 firms and has passed the Series 65, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2013 - December 27, 2018
PRONET FINANCIAL PARTNERS LLC
June 8, 2006 - March 31, 2011
OSAIC FA, INC.
December 1, 2003 - July 26, 2006
WINDWARD SECURITIES CORPORATION
June 5, 2000 - March 23, 2001
POLARIS FINANCIAL SERVICES, INC.
February 25, 1999 - May 25, 2010
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
August 7, 1997 - September 30, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
December 16, 1976 - March 31, 2011
OSAIC FS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 12/11/1976
Registered Representative ExaminationCurrent Firm
PRONET FINANCIAL PARTNERS LLC
CRD#: 154601 / SEC#: , 8-68653
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUSSMAN, STEPHEN JEFFREY | MANAGER, CFO, CCO, EXECUTIVE REP | 2181860 |
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.
