Edward A. Harkins

CETERA INVESTMENT ADVISERS LLC

NAPLES, FL

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CRD#: 1302332

Professional summary

Edward Andrew Harkins is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Naples, Florida and CETERA ADVISORS LLC located in Naples, Florida.

Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Edward has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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) HUNTER FINANCIAL ADVISORS, INC.; ADVISOR; DBA; START DATE: 11/14/2014; 160 HOURS PER MONTH. 2) INSURANCE; INDEPENDENT CONTRACTOR; INSURANCE; START DATE: 11/14/2014; 8 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Andrew Harkins'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®

None

Experience

Current

October 14, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NAPLES, FL

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

CRD#: 10299

Naples, FL

Past

December 1, 2014 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

Naples, FL

Past

December 1, 2014 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

Naples, FL

Past

July 21, 2005 - December 2, 2014

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

RIDGEFIELD, CT

Past

February 22, 2000 - December 2, 2014

NATIONAL PLANNING CORPORATION

CRD#: 29604

RIDGEFIELD, CT

Past

November 1, 1995 - February 25, 2000

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 27, 1994 - November 2, 1995

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

March 24, 1994 - August 3, 1994

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

September 26, 1991 - January 1, 1994

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

California
(9/8/2022)

Connecticut
(9/8/2022)

IAR

Florida
(10/14/2020)

Florida
(9/8/2022)

New York
(9/8/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/14/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/10/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/26/1991

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Firm Stability Insights

Edward A. Harkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Andrew Harkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

OSAIC WEALTH, INC.

NATHAN & LEWIS SECURITIES, INC.

INVESTACORP, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/14/2005

Series 63

Date: 9/10/1991

SIE

Date: 10/1/2018

Series 7

Date: 3/13/1996

Series 6

Date: 8/26/1991

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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