GH
Gaylen J. Harms
CETERA INVESTMENT ADVISERS LLC
MINNETONKA, MN 55330
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CRD#: 1178045
GH
Professional summary
Gaylen James Harms, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Minnetonka, Minnesota and CETERA WEALTH SERVICES, LLC located in Estero, Florida.
Gaylen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Gaylen has worked at 5 firms and has passed the Series 63, SIE and Series 7 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. FORTUNE FINANCIAL LLC POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2017 ADDRESS: , Minnetonka MN , United States DESCRIPTION: Agent/Broker 2. NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2011 ADDRESS: , Minnetonka MN , United States DESCRIPTION: Agent/Broker 3. NOTARY PUBLIC POSITION: Independent Contractor NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2008 ADDRESS: , Bloomington MN , United States DESCRIPTION: Independent Contractor 4. RJR INSURANCE AGENCY INC POSITION: Independent Contractor NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2010 ADDRESS: , Minnetonka MN , United States DESCRIPTION: Independent Contractor 5. TRADITION MORTGAGE POSITION: Mortgage Originator NATURE: Mortgage INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2003 ADDRESS: , Minnetonka MN , United States DESCRIPTION: Mortgage Originator 6. WALKER METHODIST POSITION: Director NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Director 7. FORTUNE FINANCIAL HOLDINGS LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2000 ADDRESS: 10261 Yellow Circle Drive, Minnetonka MN 55343, United States DESCRIPTION: 25% owner of office building that Fortune Financial operates from; 8. NAME OF OTHER BUSINESS: WOLF RIDGE ELC; INVESTMENT RELATED: NO; ADDRESS: 6282 CRANBERRY RD, FINLAND, MN; NATURE OF BUSINESS: BOARD; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: TREASURER & FINANCE CHAIR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: GOVERN THE ORGANIZATION TO HELP IT COMPLETE ITS MISSION; 9. NAME OF OTHER BUSINESS: HARMS FINANCIAL ADVISORY SERVICES, LLC, INVESTMENT RELATED: YES, ADDRESS: 23072 MARSH LANDING BLVD, ESTERO, FL 33928, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: USED FOR EXPENSE MANAGEMENT OF MY INVESTMENT ADVISORY BUSINESS;
CRS (Client Relationship Summary) - RIA
Click below to view Gaylen James Harms'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®
CFP®
Start date: 1986
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10261 Yellow Circle Dr, Minnetonka, MN 55330Office #2: 23072 Marsh Landing Blvd, Estero, FL 33928RIA
CRD#: 105644
MINNETONKA, MN
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 23072 Marsh Landing Blvd, Estero, FL 33928Office #2: 10261 Yellow Circle Drive, Minnetonka, MN 55343BD
CRD#: 13572
Estero, FL
Past
December 20, 2013 - October 18, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
MINNETONKA, MN
Past
December 20, 2013 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
MINNETONKA, MN
Past
January 22, 1991 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
MINNETONKA, MN
Past
September 21, 1988 - October 18, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
MINNETONKA, MN
Past
August 23, 1983 - September 21, 1988
CONSOLIDATED RESOURCES, INC.
BD
CRD#: 13747
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
Arizona(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Florida(8/11/2023)
IAR
Florida(1/23/2025)
RR
Georgia(8/10/2023)
RR
Illinois(8/10/2023)
RR
Iowa(8/10/2023)
RR
Kentucky(8/10/2023)
RR
Maryland(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(8/10/2023)
IAR
Minnesota(8/10/2023)
RR
Mississippi(8/10/2023)
RR
Missouri(8/10/2023)
RR
New Jersey(8/10/2023)
RR
New Mexico(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
Ohio(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Carolina(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Washington(8/10/2023)
RR
Wisconsin(8/10/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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.
