Brent L. Emerick

HARVEST INVESTMENT SERVICES

Westfield, IN

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CRD#: 1021905

Professional summary

Brent Lee Emerick, CFP® is a registered financial advisor currently at HARVEST INVESTMENT SERVICES, LLC located in Westfield, Indiana.

Brent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Brent has worked at 10 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Lee Emerick's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1986

Experience

Current

June 30, 2023 - Present

HARVEST INVESTMENT SERVICES, LLC

RIA

CRD#: 159390

Westfield, IN

Past

February 17, 2018 - June 30, 2023

WEALTH ADVISORY SOLUTIONS, LLC

RIA

CRD#: 288903

INDIANAPOLIS, IN

Past

January 5, 2006 - April 29, 2010

APW CAPITAL, INC.

CRD#: 43814

ROCKAWAY, NJ

Past

January 1, 2004 - December 31, 2005

CETERA ADVISORS LLC

CRD#: 10299

ZIONSVILLE, IN

Past

March 3, 2003 - December 31, 2017

COMPREHENSIVE FINANCIAL PLANNING SERVICES CORP.

RIA

CRD#: 122537

ZIONSVILLE, IN

Past

December 9, 1998 - December 31, 2002

COMPREHENSIVE FINANCIAL PLANNING SERVICES CORP.

RIA

CRD#: 122537

ZIONSVILLE, IN

Past

January 1, 1996 - January 1, 2004

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

February 4, 1994 - January 1, 1996

COMPREHENSIVE FINANCIAL SERVICES, INC.

CRD#: 22710

Past

December 3, 1987 - February 8, 1994

KLEIN, MAUS & SHIRE INC.

CRD#: 20527

NEW YORK, NY

Past

January 23, 1985 - December 8, 1987

MORRIS GROUP, INC.

CRD#: 13181

Past

January 5, 1982 - November 27, 1984

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HARVEST INVESTMENT SERVICES, LLC

CRD#: 159390 / SEC#: 801-79232

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arizona

Registered Investment Advisory firm - (3/21/2014 Terminated)

California

Registered Investment Advisory firm - (4/20/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2014 Terminated)

Michigan

Registered Investment Advisory firm - (3/21/2014 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(6/30/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/17/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/19/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/15/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/11/1987

General Securities Principal Examination

Current Firm

HARVEST INVESTMENT SERVICES, LLC

CRD#: 159390 / SEC#: 801-79232

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arizona

Registered Investment Advisory firm - (3/21/2014 Terminated)

California

Registered Investment Advisory firm - (4/20/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2014 Terminated)

Michigan

Registered Investment Advisory firm - (3/21/2014 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2014 Terminated)

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Contact information

Main Address

1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285

Mailing Address

Phone number

(630) 613-9230

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (7/1/2025)

APPENDIX 1: WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,335
AUM (Assets Under Management)	$ 534,204,368

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Brent L. Emerick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Lee Emerick's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTH ADVISORY SOLUTIONS, LLC

APW CAPITAL, INC.

CETERA ADVISORS LLC

COMPREHENSIVE FINANCIAL PLANNING SERVICES CORP.

COMPREHENSIVE FINANCIAL PLANNING SERVICES CORP.

IFG NETWORK SECURITIES, INC.

COMPREHENSIVE FINANCIAL SERVICES, INC.

KLEIN, MAUS & SHIRE INC.

MORRIS GROUP, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

Primary Firm SEC Registration

HARVEST INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/17/1985

Series 7

Date: 2/20/1988

Series 22

Date: 4/19/1985

Series 6

Date: 12/15/1981

Series 24

Date: 12/11/1987

Current Firm

HARVEST INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARVEST INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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