Nicholas Joseph Hardi
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
12 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- Bank of America, N.ADec 2019 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 2019 to now
- HSBC Securities (USA) IncJun 2017 to Nov 2019
- HSBC Bank USA, N.A.May 2017 to Nov 2019
- JP Morgan Securities LLCJun 2015 to May 2017
- JP Morgan Chase BankDec 2014 to May 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2015
- Series 65 · Uniform Investment Adviser Law2020
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6509350
- Firm CRD
- 7691