Individual Firm
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LARRY ALAN HARDY
CRD#: 1705893
IA
B
MORGAN STANLEYCRD#: 149777 3201 WEST WHITE OAKS DRIVE
SUITE 201
SPRINGFIELD, IL 62704
SUITE 201
SPRINGFIELD, IL 62704
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8/25/2008
Customer Dispute
Settled
9/11/2006
Customer Dispute
Denied
State Registrations
B
Arizona 6/1/2009
B
New Mexico 9/26/2023
B
California 6/1/2009
B
New York 10/25/2021
B
Colorado 6/1/2009
B
North Carolina 11/15/2024
B
District of Columbia 3/15/2022
B
Ohio 6/26/2024
B
Florida 6/1/2009
B
Oklahoma 9/15/2021
B
Georgia 6/1/2009
B
Oregon 2/2/2024
B
Illinois 6/1/2009
B
Pennsylvania 11/3/2023
IA
Illinois 6/1/2009
B
South Carolina 6/29/2022
B
Indiana 6/1/2009
B
South Dakota 1/10/2011
B
Kentucky 6/1/2009
B
Tennessee 6/1/2009
B
Maryland 6/1/2009
B
Texas 1/12/2016
B
Michigan 6/1/2009
IA
Texas 4/2/2020
B
Missouri 6/1/2009
B
Vermont 8/4/2015
B
Montana 6/22/2023
B
Virginia 9/6/2024
B
Nebraska 11/16/2021
B
Washington 6/1/2009
B
New Jersey 8/14/2009
B
Wisconsin 6/1/2009
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | SPRINGFIELD, IL | |
B | 04/02/2007 - 06/01/2009 | SPRINGFIELD, IL | |
IA | 06/09/2006 - 04/02/2007 | SPRINGFIELD, IL | |
B | 10/10/1994 - 04/02/2007 | SPRINGFIELD, IL | |
B | 11/06/1990 - 10/26/1994 | ST. LOUIS, MO | |
B | 11/02/1987 - 11/07/1990 | NEW YORK, NY | |
B | 08/24/1987 - 11/06/1987 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.