HB
Harvey L. Bowks
CETERA INVESTMENT ADVISERS LLC
LOUDONVILLE, NY 12211
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CRD#: 1023200
HB
Professional summary
Harvey Lee Bowks, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Loudonville, New York and CETERA WEALTH SERVICES, LLC located in Poughkeepsie, New York.
Harvey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Harvey has worked at 6 firms and has passed the Series 65, Series 63, Series 22TO, SIE, Series 52, Series 62, Series 2, Series 4, Series 53, Series 24 and Series 26 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.
1. FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
FIXED INSURANCE,
START 01/1980,
5HRS/WK (TRADING HOURS),
INSURANCE AGENT - SELLS LIFE, ACCIDENT, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE;
2. BENEFIT PLANNING SERVICES INC.,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
DBA NAME FOR FIXED INSURANCE,
START 01/1980,
5HRS/WK (TRADING HOURS),
INSURANCE AGENT;
3. BPS FINANCIAL SERVICES,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
DBA NAME FOR FIXED INSURANCE & SECURITIES BUSINESS,
START 01/01/2015,
40HRS/WK (32.5 TRADING HOURS),
INSURANCE AGENT, REGISTERED REPRESENTATIVE;
4. BENEFIT PLANNING SERVICES INC. - DBA: BPS FINANCIAL SERVICES,
NOT INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
ADMINISTRATION OF QUALIFIED PENSION PLANS. DOCUMENT PREPARATION AND ERISA COMPLIANCE,
START 01/1998,
5HRS/WK (TRADING HOURS),
REVIEW AND SUPERVISE PENSION PLAN ADMINISTRATION INCLUDING PLAN DOCUMENT AND 5500 FILINGS;
5. TERESIAN NURSING HOME,
NOT INVESTMENT RELATED,
WASHINGTON AVE. EXTENSION, ALBANY, NY,
NON-PROFIT ORGANIZATION,
START 09/1987,
1HR/WK (NON-TRADING HOURS),
BOARD MEMBER - ATTEND MEETINGS ON FACILITY ADMINISTRATION;
6. ST. PIUS X CHURCH,
NOT INVESTMENT RELATED,
CRUMITE RD., LOUDONVILLE, NY 12211,
NON-PROFIT ORGANIZATION,
START 07/2007,
1HR/WK (NON-TRADING HOURS),
BOARD MEMBER - MONTHLY BOARD MEETINGS;
7. NY STATE DEFENDERS JUSTICE FUND,
NOT INVESTMENT RELATED,
194 WASHINGTON AVE., ALBANY, NY,
NON-PROFIT ORGANIZATION,
START 09/2009,
1HR/WK (NON-TRADING HOURS),
BOARD MEMBER - BOARD MAKES DECISIONS ABOUT CURRENT ACTIVITIES AND THE FUTURE DIRECTION OF THE AGENCY;
8. NAME OF OTHER BUSINESS: MAIN STREET FINANCIAL
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERED LOCATION,
NATURE OF BUSINESS: FINANCIAL SERVICES,
START DATE:02/2020,
POSITION/TITLE/RELATIONSHIP: OWNER,
APX NUMBER OF HOURS PER WEEK: 40,
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5,
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Harvey Lee Bowks's 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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 20 Corporate Woods Blvd 2nd Fl, Loudonville, NY 12211Office #2: 106 Main Street Suite 102, Kingston, NY 12401Office #3: 4 Jefferson Plaza, Ste 300b, Poughkeepsie, NY 12601RIA
CRD#: 105644
LOUDONVILLE, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4 Jefferson Plaza, Ste 300b, Poughkeepsie, NY 12601Office #2: 10 Oakland Ave 2nd Floor, Warwick, NY 10990Office #3: 20 Corporate Woods Blvd 2nd Fl, Loudonville, NY 12211BD
CRD#: 13572
POUGHKEEPSIE, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
KINGSTON, NY
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
LOUDONVILLE, NY
Past
September 23, 1997 - January 27, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
ALBANY, NY
Past
October 15, 1993 - January 4, 2006
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Past
January 12, 1982 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/3/2013)
RR
Alaska(1/6/2014)
RR
Arizona(9/3/2013)
RR
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
Connecticut(9/3/2013)
RR
Delaware(9/3/2013)
RR
District of Columbia(9/3/2013)
RR
Florida(9/3/2013)
RR
Georgia(9/3/2013)
RR
Hawaii(9/3/2013)
RR
Illinois(1/15/2015)
RR
Indiana(9/3/2013)
RR
Iowa(8/8/2016)
RR
Kansas(9/3/2013)
RR
Kentucky(9/3/2013)
RR
Louisiana(9/3/2013)
RR
Maine(9/3/2013)
RR
Maryland(9/3/2013)
RR
Massachusetts(9/3/2013)
RR
Michigan(9/3/2013)
RR
Minnesota(9/3/2013)
RR
Mississippi(8/26/2024)
RR
Nebraska(4/22/2022)
RR
Nevada(9/3/2013)
RR
New Hampshire(9/3/2013)
RR
New Jersey(9/3/2013)
RR
New Mexico(9/3/2013)
RR
New York(9/3/2013)
IAR
New York(6/29/2023)
RR
North Carolina(9/3/2013)
RR
Ohio(9/3/2013)
RR
Oklahoma(9/3/2013)
RR
Oregon(9/3/2013)
RR
Pennsylvania(9/3/2013)
RR
Puerto Rico(9/3/2013)
RR
Rhode Island(9/3/2013)
RR
South Carolina(9/3/2013)
RR
South Dakota(2/15/2019)
RR
Tennessee(9/3/2013)
RR
Texas(9/3/2013)
IAR
Texas(6/29/2023)
RR
Utah(9/3/2015)
RR
Vermont(9/3/2013)
RR
Virginia(9/3/2013)
RR
Washington(9/3/2013)
RR
West Virginia(9/3/2013)
RR
Wisconsin(9/3/2013)
RR
Wyoming(7/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/3/2002
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
RR
Series 2
Date: 7/8/1975
Non-Member General Securities ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
