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RIA / WealthAdvisor40 years in industry

JOHN WARREN HARDY

Advisor at CETERA PLANNING PARTNERS

LEAWOOD, KS | GREENSBORO, NC

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Search this name across graphsid dfx:ria:3a32d2f2-c895-3a62-acfc-83adada64b8e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jan 15, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA PLANNING PARTNERS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 25, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 25, 1985
First registration: Jan 15, 2005
Dual registered: no
Other names: JR JOHN WARREN HARDY|JOHN WARREN HARDY|JOHN WARREN HERDY
IAPD individual key: 1008867

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA PLANNING PARTNERS	Independent wealth	Jan 6, 2026	n/a	yes	LEAWOOD, KS\|GREENSBORO, NC	Current employment
CETERA PLANNING PARTNERS	Independent wealth	Sep 22, 2025	Dec 22, 2025	no	GREENSBORO, NC\|LEAWOOD, KS	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	Dec 22, 2025	no	CLEMMONS, NC\|GREENSBORO, NC	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	May 20, 2021	Jun 29, 2023	no	EDENTON, NC\|EL SEGUNDO, CA\|GREENSBORO, NC\|GREENSBORO, NC\|CLEMMONS, NC	Previous registration
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Nov 27, 2019	May 20, 2021	no	Greensboro, NC	Previous registration
INDEPENDENT ADVISOR ALLIANCE, LLC	Independent wealth	Feb 11, 2016	Nov 27, 2019	no	Greensboro, NC	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 13, 2005	Feb 12, 2016	no	CLEMMONS, NC\|GREENSBORO, NC\|GREENSBORO, NC\|HIGH POINT, NC\|ASHEBORO, NC\|WINSTON SALEM, NC\|BURLINGTON, NC\|GREENSBORO, NC\|GREENSBORO, NC\|GREENSBORO, NC	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jan 15, 2005	May 16, 2005	no	GREENSBORO, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA INVESTMENT ADVISERS LLC	CETERA PLANNING PARTNERS	Dec 22, 2025	Sep 22, 2025	-91	Firm change after gap	Ibd to RIA
CETERA ADVISOR NETWORKS LLC	CETERA INVESTMENT ADVISERS LLC	Jun 29, 2023	Jun 29, 2023	0	Bulk transfer	Ibd to ibd
SUMMIT FINANCIAL GROUP INC	CETERA ADVISOR NETWORKS LLC	May 20, 2021	May 20, 2021	0	Channel change	Ibd to ibd
INDEPENDENT ADVISOR ALLIANCE, LLC	SUMMIT FINANCIAL GROUP INC	Nov 27, 2019	Nov 27, 2019	0	Firm change	RIA to ibd
LPL FINANCIAL LLC	INDEPENDENT ADVISOR ALLIANCE, LLC	Feb 12, 2016	Feb 11, 2016	-1	Firm change	Other
PRINCIPAL SECURITIES, INC.	LPL FINANCIAL LLC	May 16, 2005	May 13, 2005	-3	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
105644:129625:NC:2025-12-22	Dec 22, 2025	Sep 22, 2025	CLEMMONS, NC	Firm change after gap
109485:13572:NC:2021-05-20	May 20, 2021	May 20, 2021	GREENSBORO, NC	Firm change
168267:109485:NC:2019-11-27	Nov 27, 2019	Nov 27, 2019	GREENSBORO, NC	Firm change
6413:168267:NC:2016-02-12	Feb 12, 2016	Feb 11, 2016	GREENSBORO, NC	Firm change

Relationships

Registered with (7)

→ CETERA PLANNING PARTNERSRegistered adviserregistration: previous registration
Sep 22, 2025 to Dec 22, 2025factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jun 29, 2023 to Dec 22, 2025factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
May 20, 2021 to Jun 29, 2023factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Nov 27, 2019 to May 20, 2021factForm ADV
→ INDEPENDENT ADVISOR ALLIANCE, LLCRegistered adviserregistration: previous registration
Feb 11, 2016 to Nov 27, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 13, 2005 to Feb 12, 2016factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Jan 15, 2005 to May 16, 2005factForm ADV

Dated events

Occurred
Dec 22, 2025
Advisor changed firm
John Warren Hardy left Cetera Investment Advisers Llc for Cetera Planning Partners (registered 2025-09-22)
Form ADVobserved 5 days ago