Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Henry Hardy has been in the financial services industry since November 1990. He is currently registered as an investment advisor representative with Osaic Wealth, Inc. in Daphne, Alabama. Prior to joining Osaic Wealth, James Hardy was registered with Sagepoint Financial, Inc. in Daphne, Alabama. James Hardy has also worked for a number of other firms, including American General Securities Incorporated and ING Financial Partners, Inc. James Hardy is a highly experienced investment advisor with a broad range of knowledge and expertise. He is committed to providing his clients with the highest level of service and personalized attention. He specializes in portfolio management for individuals and businesses, financial planning, and pension consulting. He also offers educational seminars on a variety of financial topics.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
AL
03/04/2024 - Present
Osaic Wealth, Inc. (DAPHNE AL)
AL
10/31/2008 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (DAPHNE AL)
AL
10/31/2006 - 10/31/2008
AMERICAN GENERAL SECURITIES INCORPORATED (DAPHNE AL)
AL
12/20/2005 - 10/31/2006
ING FINANCIAL PARTNERS, INC. (DAPHNE AL)
TX
10/01/2002 - 12/19/2005
AMERICAN GENERAL SECURITIES INCORPORATED (HOUSTON TX)
TX
11/21/1990 - 10/01/2002
FRANKLIN FINANCIAL SERVICES CORPORATION (HOUSTON TX)
BOTH
Issued 05/20/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/21/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/28/2006
Series 24 - General Securities Principal Examination
BC
Issued 02/14/2001
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2006
Series 7 - General Securities Representative Examination
BC
Issued 11/20/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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