Thomas L. Hardin

CANTERBURY INVESTMENT MANAGEMENT

Zionsville, IN 46077

Some features on this profile are disabled

CRD#: 838414

Professional summary

Thomas Lee Hardin, CFP®, who also goes by Tom Hardin, is a registered financial advisor currently at CANTERBURY INVESTMENT MANAGEMENT, LLC located in Zionsville, Indiana.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Thomas has worked at 7 firms and has passed the Series 65, Series 63, PC and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Hardin

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 Thomas Lee Hardin'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: 1982

Experience

Current

April 2, 2003 - Present

CANTERBURY INVESTMENT MANAGEMENT, LLC

Office #1: 23 E Cedar St, Zionsville, IN 46077

RIA

CRD#: 125680

Zionsville, IN

Past

December 15, 1998 - April 14, 2003

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

INDIANAPOLIS, IN

Past

July 31, 1993 - April 14, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 7, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 16, 1982 - March 7, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

March 18, 1980 - September 23, 1982

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

July 30, 1979 - March 8, 1980

J.C. BRADFORD & CO.

CRD#: 1287

Past

June 1, 1977 - July 30, 1979

ALMSTEDT BROTHERS, INC.

CRD#: 31

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".

CANTERBURY INVESTMENT MANAGEMENT, LLC

CANTERBURY FINANCIAL GROUP, LLC | WEALTH ADVISORY SOLUTIONS, LLC | CANTERBURY INVESTMENT MANAGEMENT, LLC

CRD#: 125680 / SEC#: 801-61876

RIA

Registered Investment Advisory firm - (3/14/2003 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

Indiana
(4/2/2003)

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 65

Date: 7/13/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/26/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 6/18/1979

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 5/21/1977

General Securities Representative Examination

Current Firm

CANTERBURY INVESTMENT MANAGEMENT, LLC

CANTERBURY FINANCIAL GROUP, LLC | WEALTH ADVISORY SOLUTIONS, LLC | CANTERBURY INVESTMENT MANAGEMENT, LLC

CRD#: 125680 / SEC#: 801-61876

RIA

Registered Investment Advisory firm - (3/14/2003 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

23 E Cedar St, Zionsville, IN 46077

Mailing Address

Phone number

(317) 732-2075

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CANTERBURY 2A 2.2022 (3/6/2025)

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 64,573,245

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.

Similar Advisors

John Cooke

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

Brian Cooke

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

John Cooke

SANCTUARY ADVISORS, LLC

IAR

Indianapolis, IN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas L. Hardin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Lee Hardin's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

PRESCOTT, BALL & TURBEN, INC.

J.C. BRADFORD & CO.

ALMSTEDT BROTHERS, INC.

Primary Firm SEC Registration

CANTERBURY INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/1992

Series 63

Date: 11/26/1980

PC

Date: 6/18/1979

Series 7

Date: 5/21/1977

Current Firm

CANTERBURY INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CANTERBURY INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors