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Lathen Hardy

Charles Schwab & CO., Inc.

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About Lathen Hardy

Lathen Hardy is a financial advisor who has been in the industry since 2015. Lathen is currently registered with Charles Schwab & CO., Inc. and has been with the firm since November 2017. Previously, Lathen was registered with PRINCIPAL SECURITIES, INC. and PFS INVESTMENTS INC. Lathen holds a Series 6, 7, 63, and 66 licenses and is a registered investment advisor in Oregon and Texas. Lathen specializes in providing financial planning services, as well as providing advice on selection of other advisors.

Firm Information

Lathen Hardy is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Lathen Hardy’s Registration & Firm History

TX

08/31/2023 - Present

Charles Schwab & CO., Inc. (Dallas TX)

IN

12/01/2015 - 11/08/2017

PRINCIPAL SECURITIES, INC. (Indianapolis IN)

IN

05/07/2015 - 12/02/2015

PFS INVESTMENTS INC. (INDIANAPOLIS IN)

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Licenses & Designations

BOTH

Issued 10/19/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/28/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/25/2018

Series 7 - General Securities Representative Examination

BC

Issued 05/07/2015

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Lathen Hardy.
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