James Henry Hardy

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/1990 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Oxnard, CA
• 09/2009 → Present
  Bank Of America, N.A.
  Oxnard, CA

Other Businesses

I*21424 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BOYS AND GIRLS CLUB OF CAMARILLO INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1500 TEMPLE AVENUE 290 MAPLE CT VENTURA, CA, 93003 864 E. SANTA CLARA VENTURA, CA 93001 CAMARILLO, CALIFORNIA 93011 NATURE OF BUSINESS: OTHER, ON ADVISORY BOARD POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 39553 NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DIRECTOR/BOARD MEMBER PROVIDE AFTER SCHOOL ACTIVITIES FOR YOUTH

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-03-27
• S63 Uniform Securities Agent State Law Examination
  1988-12-06

Other Names

• Jim Hardy
• James Hardy
• James Henry Jr Hardy