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Lucy C Hardy
LUCY CHRISTINA BECARIA, LUCY CHRISTINA HARDY
CRD#: 6288879
IA
B
MORGAN STANLEYCRD#: 149777 2141 Rosecrans Avenue
Suite 3100
El Segundo, CA 90245
Suite 3100
El Segundo, CA 90245
0
Disclosures
10
Years of Experience
View By:
State Registrations
B
Alabama 6/19/2017
B
Minnesota 6/19/2017
B
Alaska 4/20/2018
B
Missouri 8/23/2022
B
Arizona 6/19/2017
B
Nevada 6/19/2017
B
California 6/19/2017
B
New Hampshire 11/29/2017
IA
California 6/19/2017
B
New Jersey 6/19/2017
B
Colorado 6/19/2017
B
New Mexico 6/19/2017
B
Connecticut 6/19/2017
B
New York 6/19/2017
B
Delaware 1/29/2019
B
North Carolina 4/25/2018
B
District of Columbia 11/29/2017
B
Oregon 6/19/2017
B
Florida 6/19/2017
B
Pennsylvania 6/19/2017
B
Georgia 11/29/2017
B
South Carolina 6/19/2017
B
Idaho 6/19/2017
B
South Dakota 7/16/2024
B
Illinois 6/19/2017
B
Texas 6/19/2017
B
Indiana 6/19/2017
IA
Texas 6/22/2017
B
Kansas 11/27/2024
B
Utah 10/4/2017
B
Maryland 6/19/2017
B
Virginia 6/19/2017
B
Massachusetts 6/19/2017
B
Washington 6/19/2017
B
Michigan 6/19/2017
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/19/2017
B
Registered with this firm since 6/19/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/13/2015 - 04/04/2017 | WESTMINSTER, CA | |
B | 01/13/2015 - 04/04/2017 | WESTMINSTER, CA | |
IA | 05/27/2014 - 06/25/2014 | SEAL BEACH, CA | |
B | 03/11/2014 - 06/25/2014 | SEAL BEACH, CA |
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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.