Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Pauline? Claim Your ProfilePauline Hardie is a financial advisor with Raymond James & Associates, Inc. Pauline has over 20 years of experience in the financial services industry. Pauline is a Series 7, Series 9, and Series 63 licensed professional. Previously, Pauline worked at ONEAMERICA SECURITIES, INC. and CHARLES SCHWAB & CO., INC.. Pauline is registered to provide financial advice in Arizona, Indiana, and Washington.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IN
03/18/2014 - Present
Raymond James & Associates, Inc. (Carmel IN)
IN
03/21/2011 - 04/04/2014
ONEAMERICA SECURITIES, INC. (INDIANAPOLIS IN)
IN
07/27/1998 - 03/11/2009
CHARLES SCHWAB & CO., INC. (FISHERS (INDIANAPOLIS) IN)
BC
Issued 08/20/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/31/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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