Nicholas Joseph Hardi

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

• 06/2015 → 05/2017
  Jp Morgan Securities Llc
  Irvine, CA
• 12/2014 → 05/2017
  Jp Morgan Chase Bank
  Irvine, CA
• 05/2017 → 11/2019
  Hsbc Bank Usa, N.A.
  Irvine, CA
• 06/2017 → 11/2019
  Hsbc Securities (Usa) Inc
  Irvine, CA
• 11/2019 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Costa Mesa, CA
• 12/2019 → Present
  Bank Of America, N.A
  Costa Mesa, CA

Other Businesses

I*137538 For profit or not for profit: For-Profit Organization Name of outside business organization: Formosa Capital LLC Investment related: Address of business: Lake Forest, California 92630 Nature of business: LLC, Compensation for Activity: Position, title, association: Owner, Start date of relationship: 12/1/2020 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: LLC set up to accept rental payments

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-01-17
• S63 Uniform Securities Agent State Law Examination
  2015-09-14

Other Names

• Nicholas J Hardi
• Nicholas Hardi
• Nicholas Joseph Hardi