RH
Robert B. Harte
CETERA INVESTMENT ADVISERS LLC
TORRANCE, CA 90505
Some features on this profile are disabled
CRD#: 1341647
RH
Professional summary
Robert Bruce Harte is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Torrance, California and CETERA WEALTH SERVICES, LLC located in Torrance, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Robert has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 51 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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/2024, LESS THAN I HOUR PER WEEK, NOT DURING TRADING HOURS, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: FREITAS HARTE PLANNING, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 11/2024; POSITION/TITLE/RELATIONSHIP: TREASURER/FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL AND INSURANCE SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Robert Bruce Harte'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 25500 Hawthorne Blvd Ste 1140, Torrance, CA 90505RIA
CRD#: 105644
TORRANCE, CA
Current
April 10, 1989 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 25500 Hawthorne Blvd Ste 1140, Torrance, CA 90505BD
CRD#: 13572
Torrance, CA
Past
July 8, 1997 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
TORRANCE, CA
Past
August 20, 1985 - April 10, 1989
AMERICAN PACIFIC SECURITIES CORPORATION
BD
CRD#: 5003
Past
June 13, 1985 - August 20, 1985
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
BD
CRD#: 32
Past
March 19, 1985 - June 25, 1985
PLANVEST CAPITAL CORPORATION
BD
CRD#: 14849
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(7/28/1995)
RR
Arkansas(2/13/2018)
RR
California(4/10/1989)
IAR
California(6/29/2023)
RR
Colorado(3/26/1998)
RR
Florida(2/4/2014)
RR
Georgia(4/14/1994)
RR
Hawaii(5/20/2002)
RR
Idaho(6/2/2020)
RR
Illinois(1/6/2016)
RR
Kansas(2/13/2024)
RR
Maryland(2/4/2014)
RR
Minnesota(1/2/2018)
RR
Nevada(3/2/1999)
RR
New Jersey(2/6/2013)
RR
New Mexico(3/10/2023)
RR
New York(2/6/2013)
RR
North Carolina(2/4/2014)
RR
Ohio(5/5/2023)
RR
Oregon(1/24/2001)
RR
Pennsylvania(3/31/2016)
RR
Tennessee(9/18/2019)
RR
Texas(5/20/2002)
IAR
Texas(6/29/2023)
RR
Utah(5/20/2002)
RR
Virginia(2/29/2000)
RR
Washington(1/24/2001)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
