Benjamin Earl Hardy

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-01-14
IN	RA	APPROVED	2025-07-18
NY	RA	APPROVED	2021-11-21

TX RA
APPROVED_RES

Since 2026-01-14
IN RA
APPROVED

Since 2025-07-18
NY RA
APPROVED

Since 2021-11-21

Branch Locations

5 School St, Almond, NY 14804 • United States

323 W Washington St, Bath, NY 14810 • 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

Organization	City	State	From	To
Principal Securities Inc	Almond	NY	11/2020	Present
Principal Life Insurance Company	Almond	NY	11/2020	Present
Unemployed	Dansville	NY	10/2020	11/2020
Wegmans Food Markets	Rochester	NY	11/2019	10/2020
Wegmans Food Markets	Rochester	NY	05/2018	11/2019
Wegmans Food Markets	Rochester	NY	01/2017	04/2018
Wegmans Food Markets	Rochester	NY	09/2015	01/2017

11/2020 → Present

Principal Securities Inc

Almond, NY
11/2020 → Present

Principal Life Insurance Company

Almond, NY
10/2020 → 11/2020

Unemployed

Dansville, NY
11/2019 → 10/2020

Wegmans Food Markets

Rochester, NY
05/2018 → 11/2019

Wegmans Food Markets

Rochester, NY
01/2017 → 04/2018

Wegmans Food Markets

Rochester, NY
09/2015 → 01/2017

Wegmans Food Markets

Rochester, NY

Other Businesses

***Fixed Insurance; Investment Related; Almond, NY; Agent; Fixed Life, Annuity, DI, Health, LTC, Medicare, Medicare Supplements, Dental and Group Products; Start Date: 02/01/2021; 50 hrs per month; 50 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-11-20
S63	Uniform Securities Agent State Law Examination	2020-12-03

S65 Uniform Investment Adviser Law Examination

2021-11-20
S63 Uniform Securities Agent State Law Examination

2020-12-03

Other Names

Ben Hardy

View on SEC IAPD