Stuart J. Henley

HARMONY ASSET MANAGEMENT LLC

AUBURN, AL

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CRD#: 1368973

Professional summary

Stuart Jeffries Henley, who also goes by Jeff Henley, is a registered financial advisor currently at HARMONY ASSET MANAGEMENT LLC located in Auburn, Alabama.

Stuart is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Stuart has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Henley

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 Stuart Jeffries Henley'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

August 22, 2018 - Present

HARMONY ASSET MANAGEMENT LLC

RIA

CRD#: 116069

AUBURN, AL

Past

June 18, 2018 - August 14, 2018

CALTON & ASSOCIATES, INC.

CRD#: 20999

TAMPA, FL

Past

June 1, 2009 - March 19, 2018

MORGAN STANLEY

RIA

CRD#: 149777

TAMPA, FL

Past

June 1, 2009 - March 19, 2018

MORGAN STANLEY

CRD#: 149777

TAMPA, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

TAMPA, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

TAMPA, FL

Past

May 27, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

TAMPA, FL

Past

May 20, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

TAMPA, FL

Past

December 9, 1991 - May 24, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 31, 1986 - December 23, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

June 26, 1985 - February 11, 1986

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

HARMONY ASSET MANAGEMENT LLC

EXPANSION FUNDS AMERICA | ROSENFIELD, ALAN E. | HARMONY NONPROFIT | HARMONY ASSET MANAGEMENT LLC | EXPANSION FUNDS AMERICA LLC

CRD#: 116069 / SEC#: 801-118731

RIA

Registered Investment Advisory firm - (5/15/2020 Approved)

Arizona

Registered Investment Advisory firm - (11/20/2020 Terminated)

Florida

Registered Investment Advisory firm - (11/11/2020 Terminated)

New York

Registered Investment Advisory firm - (11/11/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (12/4/2006 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

Alabama
(10/13/2023)

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

IAR

Series 65

Date: 11/7/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/5/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/14/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/21/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/25/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HARMONY ASSET MANAGEMENT LLC

EXPANSION FUNDS AMERICA | ROSENFIELD, ALAN E. | HARMONY NONPROFIT | HARMONY ASSET MANAGEMENT LLC | EXPANSION FUNDS AMERICA LLC

CRD#: 116069 / SEC#: 801-118731

RIA

Registered Investment Advisory firm - (5/15/2020 Approved)

Arizona

Registered Investment Advisory firm - (11/20/2020 Terminated)

Florida

Registered Investment Advisory firm - (11/11/2020 Terminated)

New York

Registered Investment Advisory firm - (11/11/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (12/4/2006 Terminated)

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Contact information

Main Address

16220 N. Scottsdale Road Suite 300, Scottsdale, AZ 85254

Mailing Address

Phone number

(480) 314-5967

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HARMONY ASSET MANAGEMENT LLC - BROCHURE (4/17/2025)

Regulatory assets under management

Total Number of Accounts	528
AUM (Assets Under Management)	$ 393,589,232

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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Advisor Monitoring

Firm Stability Insights

Stuart J. Henley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Jeffries Henley's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALTON & ASSOCIATES, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

HARMONY ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/7/1994

Series 63

Date: 2/5/1986

SIE

Date: 8/14/2018

Series 3

Date: 4/21/1986

Series 7

Date: 10/19/1985

Series 6

Date: 6/25/1985

Current Firm

HARMONY ASSET MANAGEMENT LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARMONY ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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