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Featured Business Financial Advisor in Sarasota, FL
Sarasota Financial Advisors
Sara-Bay Financial
2201 Cantu Ct Ste. 217
Sarasota, FL 34232
(941) 371-8027
Advisor Profile
Benjamin Hard, CFP
Name:  Benjamin Hard, CFP
Phone Number:  (941) 371-8027
Website:  Visit Website
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About Sara-Bay Financial

Sara-Bay Financial Corporation, a Sarasota based Registered Investment Advisor, was founded in 1993. Our specialty is building and managing stock portfolios for individuals. We offer two basic strategies one for growth, and one for a more conservative income strategy. Each strategy typically consists of sixteen to twenty quality stocks of individual companies.

Sara-Bay has chosen Charles Schwab & Company, a leading discount brokerage firm as its custodian for client accounts. Clients receive monthly statements from Charles Schwab and can access and view their accounts and holdings online. In addition Sara-Bay financial can also provide statements, performance figures, and gain and loss reports at anytime. As a firm we are committed to the growth of our clients assets and developing long-term customer relationships
 

General Information

Gender:    Male
CRD#:    4362335
Firm CRD#:    133443
SEC File#:    801-68140
Insurance License#:    P210435
Name of Custodial Firm:    Charles Schwab & Co.
States Licensed in:    We are able to do business in all states.
States Willing to do Business in:   
Years of Experience in Financial Services:    15
Number of Years with Current Firm:    7
Work Experience:    Sara-Bay Financial Team: J.Michael Hard, Benjamin Hard,CFP and Barbara Gil

Mike Hard has been in the investment business in Sarasota since the 1970s. He spent the first five years with Merrill Lynch as both a securities and commodities broker. After leaving Merrill, he worked for other large firms, including Shearson Lehman and Dean Witter. In 1987, he joined Kemper Securities and spent the next six years there as co-manager of their Sarasota office. Mike founded Sara-Bay Financial Corp. in 1993, offering a diversity of investment securities and our management program.

Ben holds a degree in Finance from the University of South Florida and is a certified financial planner professional. In 2000 he began working in the financial industry as an equity trader for Navillus Securities, a Pennsylvania based broker-dealer. Prior to joining Sara-Bay he was VP of Marketing for EDMP Inc., a Tampa registered investment advisory firm.
I work with the following types of clients:    Non-Profit Organizations, Individual Investors, Businesses
 

Education

Academic Background
 
Ben has B.S. in Finance from the University of South Florida in Tampa.
 

Services

Investment Types:    Exchange Traded Funds (ETFs), Insurance, Mutual Funds, Options & Futures, Bonds, Stocks
 

Qualifications & Memberships

Certifications, Accreditations & Designations:    CERTIFIED FINANCIAL PLANNER™ Certificant
Securities Licenses:    Series 65
Insurance and Annuity Licenses:    Variable Annuity, Annuity, Health, Life
Financial Organization Memberships:    Southwest Florida Estate Planning Council
 

Compliance

Registered Investment Advisor:    Yes
Registered Representative:    Yes
Investment Advisor Representative:    Yes
I am an acknowledged fiduciary:    Yes
Compliance Disclosures in Last 5 years:    I have a clean record
Criminal Disclosures in Last 5 years:    I have a clean record
 

Compensation & Fees

Fee Structure:    I am a Fee-Only financial professional
Minimum Portfolio Size for New Managed Accounts:    100,000
Compensation Methods:    Based on Assets
Fee % Based on Assets:    .65%-1.5%
Minimum Fee Charged for Managed Accounts:    $125 Qtr
 
 
 
Prepared By: Benjamin Hard, CFP

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