Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rory? Claim Your ProfileRory Hartley is a financial professional with over 35 years of experience in the securities industry. Rory is currently registered with Concourse Financial Group Securities, Inc. and is located in Birmingham, AL. Rory has held previous registrations with Sterne, Agee & Leach, Inc. and Regions Investment Company, Inc. Rory holds several professional licenses and certifications, including Series 7, Series 24, Series 50, Series 52TO, Series 53, Series 79TO, and Series 99TO.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AL
12/10/2004 - Present
Concourse Financial Group Securities, Inc. (Birmingham AL)
AL
04/24/2001 - 12/09/2004
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
AL
08/28/1986 - 04/17/2001
REGIONS INVESTMENT COMPANY, INC. (BIRMINGHAM AL)
BC
Issued 07/24/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/15/1999
Series 24 - General Securities Principal Examination
BC
Issued 08/15/1988
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/2016
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Rory Hartley is the right advisor for you? Invested Better is here to help.
