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Brian Clarke Hardiman

Jefferies LLC

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About Brian Clarke Hardiman

Brian Hardiman is a financial advisor with Jefferies LLC. Brian has been in the industry since 1999 and has a broad range of experience in the financial markets. Brian has a Series 7, Series 55, Series 63, SIE, and Series 57TO license. Brian holds registrations in 52 states. Brian was previously with UBS Securities LLC, Schwab Capital Markets L.P., Soundview Technology Corporation, and Robertson Stephens, Inc.

Firm Information

Brian Hardiman is currently registered with Jefferies LLC. Jefferies LLC is a Limited Liability Company formed on March 1, 2013, operating in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are approved by the SEC and hold active registrations in all 53 jurisdictions.

Not reported

Assets Under Management

Not reported

Total Clients

446

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Brian Hardiman’s Registration & Firm History

MA

03/20/2009 - Present

Jefferies LLC (BOSTON MA)

MA

10/29/2004 - 03/11/2009

UBS SECURITIES LLC (BOSTON MA)

CT

01/12/2004 - 11/01/2004

SCHWAB CAPITAL MARKETS L.P. (STAMFORD CT)

CT

04/04/2002 - 01/12/2004

SOUNDVIEW TECHNOLOGY CORPORATION (OLD GREENWICH CT)

CA

11/29/2000 - 03/21/2002

ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 01/13/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/17/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/28/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Brian Clarke Hardiman.
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