Janelle Hardy joined Northern Lights Distributors, LLC (NLD) in May 2004 as a registered representative where she was working as an Office Manager and Registered Assistant for Forum Financial Consultants, LLC. In June of 2006 she took on the role of Chief Compliance Officer. In July of 2008, she went on to take the role of Director of Supervision and Education. Currently, she serves as Vice President of Compliance. In this role, Ms. Hardy is responsible for a multitude of client compliance needs including in part, the supervision of wholesale representatives, the continuing education program for the firm, reviewing client advertising to ensure adherence to regulatory guidelines, helping establish agreements with broker-dealers and banks, and managing the Compliance Specialist Team.
Ms. Hardy has over 20 years of experience working in the financial services industry. Prior to joining NLD, she worked for TD Ameritrade in various roles including the trading team, options, and margin departments. Ms. Hardy also worked at Investment Centers of America as a Junior Broker and Investment Advisor under a multimillion-dollar producer for several years. Ms. Hardy is an experienced leader in FINRA compliance, client service, management and financial planning.
Ms. Hardy attended the University of Nebraska at Lincoln. She currently holds the Series 7, 24, 63, 65, and 99 securities registrations along with her Health and Life insurance licenses. While away from the office, she enjoys swimming, reading, organizing events and spending time with her husband and daughter. Ms. Hardy is also involved with her church, daughter’s school PTO, the Nebraska Humane Society, and the Open-Door Mission.