John Warren Hardy

Current Employers

Employment History

• 05/2005 → 11/2019
  Lpl Financial Llc
  Greensboro, NC
• 02/2016 → 11/2019
  Independent Advisor Alliance
  Charlotte, NC
• 11/2019 → 05/2021
  Summit Financial Group
  Greensboro, NC
• 11/2019 → 12/2025
  Cetera Wealth Services, Llc
  El Segundo, CA
• 02/2016 → 12/2025
  Hmc Partners Llc
  Greensboro, NC
• 03/2011 → Present
  Money Matters Properties, Llc
  Greensboro, NC
• 06/2023 → 12/2025
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 09/2025 → Present
  Cetera Planning Partners
  Greensboro, NC

Previous Registrations

• 2023-06-29 → 2025-12-22
  Cetera Investment Advisers Llc
  Clemmons, NC
  Greensboro, NC
• 2025-09-22 → 2025-12-22
  Cetera Planning Partners
  Greensboro, NC
  Leawood, KS
• 2021-05-20 → 2023-06-29
  Cetera Wealth Services, Llc
  Edenton, NC
  El Segundo, CA
  Greensboro, NC
  Greensboro, NC
  Clemmons, NC
• 2019-11-27 → 2021-05-20
  Summit Financial Group Inc
  Greensboro, NC
• 2016-02-11 → 2019-11-27
  Independent Advisor Alliance, Llc
  Greensboro, NC
• 2005-05-13 → 2016-02-12
  Lpl Financial Llc
  Clemmons, NC
  Greensboro, NC
  Greensboro, NC
  High Point, NC
  Asheboro, NC
  Winston Salem, NC
  Burlington, NC
  Greensboro, NC
  Greensboro, NC
  Greensboro, NC
• 2005-01-15 → 2005-05-16
  Principal Securities, Inc.
  Greensboro, NC

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: RECEIVING TRAILS FOR PREVIOUSLY SOLD PRODUCTS, MAINTAINING AN ACTIVE INSURANCE LICENSE 2. NAME OF OTHER BUSINESS: HMC PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: 3. NAME OF OTHER BUSINESS: MONEY MATTERS PROPERTIES, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: HOLDING COMPANY FOR PROPERTY LOCATED AT 2010-D NEW GARDEN ROAD, GREENSBORO NC START DATE: 3/11 POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT AND OWNER APX NUMBER OF HOURS PER WEEK: LESS THAN 1 APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 BRIEF DESCRIPTION OF DUTIES: : VICE PRESIDENT AND OWNER

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-02-10
• S63 Uniform Securities Agent State Law Examination
  1985-11-25

Other Names

• Jr John Warren Hardy
• John Warren Hardy
• John Warren Herdy