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Randolph Charles Hardy

Factor Wealth Management

Chicago, IL

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Current Employers
Factor Wealth Management

980 N Michigan Avenue Ste 1320, Chicago, IL 60611 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-04-03
IL RA APPROVED 2009-09-03
  • TX RA
    APPROVED
    Since 2019-04-03
  • IL RA
    APPROVED
    Since 2009-09-03

Branch Locations

980 N Michigan Avenue Ste 1320, Chicago, IL 60611 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Factor Wealth Management Ltd. Chicago IL 09/2009 Present
  • 09/2009 → Present
    Factor Wealth Management Ltd.
    Chicago, IL
Previous Registrations
  • 2004-09-29 → 2009-07-31
    Lwi Financial Inc.
    Los Angeles, CA
  • 2004-07-08 → 2004-09-30
    Loring Ward Capital Management Inc.
    Los Angeles, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-04-17
  • S63 Uniform Securities Agent State Law Examination
    2004-04-17
Designations
Other Names
  • Randolph C Hardy

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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