RH
Ronald A. Harczak
INDEPENDENT ADVISOR ALLIANCE
St. Charles, IL 60174
Some features on this profile are disabled
CRD#: 1375192
RH
Professional summary
Ronald Alan Harczak, CFP®, who also goes by Ron Harczak, Ronald Harzak, is a registered financial advisor currently at INDEPENDENT ADVISOR ALLIANCE, LLC located in St. Charles, Illinois and LPL FINANCIAL LLC located in St. Charles, Illinois.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Ronald has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ron Harczak | Ronald Harzak
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- 01/2024 / Kingsway LLC / Real Estate Rental / Investment Related / 1 hr mth / 1 hr during trading / Start date: 10/28/2011 2- 01/2024 / Ronald Harczak / Notary / Investment Related / 1 hr mth / 1 hr during trading / Start date 02/01/1999 3- 01/2024 / RONALD A HARCZAK INC / Business Entity For Tax/Investment Purposes Only / Not investment related / 120 hrs mth / 40 hrs during trading / Start date: 01/05/1999 4- 01/2024 / Ronald Harczak - Fixed Insurance / Non-Variable Insurance / Investment Related / 1 hr mth / 1 hr during trading / Start date: 11/27/2023 5- 01/2024 / Steward Guide Wealth Partners / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 40 hrs during trading / Start Date: 11/27/2023 / At reported business location(s). 6- 01/2024 / KINGSWAY LLC / Business Entity For Tax/Investment Purposes Only / Not Investment Related / 1 hr mth / 1 hr during trading / Start Date: 10/28/2011 7- 01/2024 / Steward Guide Wealth Partners / DBA for RIA Business / Investment Related / 160 hrs mth / 40 hrs during trading / Start Date: 02/28/2024 / At reported business location(s). 8- 03/12/2024 / Independent Advisor Alliance / Inv Related / At Reported Business Location(s) / Registered Investment Advisor / Advisor / Started: 11/27/2023 / 160 Hrs/Mo; 40 Hrs During Trading / I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 3/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 9- 03/19/2024 / Independent Advisor Alliance DBA Steward Guide Wealth Partners / Inv Related / At Reported Business Location(s) / Registered Investment Advisor DBA / Advisor / Started: 11/27/2023 / 160 Hrs/Mo; 40 Hrs During Trading / I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 3/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Alan Harczak'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: 1990
Experience
Current
February 28, 2024 - Present
INDEPENDENT ADVISOR ALLIANCE, LLC
Office #1: 451 Dunham Road Suite 500, St. Charles, IL 60174RIA
CRD#: 168267
St. Charles, IL
Current
February 28, 2024 - Present
LPL FINANCIAL LLC
Office #1: 451 Dunham Rd, Ste 500, St. Charles, IL 60174RIA
BD
CRD#: 6413
St. Charles, IL
Past
November 15, 1995 - March 1, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
ST CHARLES, IL
Past
September 1, 1992 - March 1, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SAINT CHARLES, IL
Past
May 21, 1990 - September 21, 1992
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
BEDMINSTER, NJ
Past
October 24, 1988 - December 22, 1989
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
June 30, 1988 - September 10, 1988
CAL FED INVESTMENTS
BD
CRD#: 19631
Past
March 18, 1987 - May 19, 1988
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
Past
August 21, 1985 - March 18, 1987
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
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".
IA
INDEPENDENT ADVISOR ALLIANCE, LLC
AFTON WEALTH MANAGEMENT | STOCKBRIDGE WEALTH ADVISORS | STILLWATER FINANCIAL ADVISORS | STEWARD GUIDE WEALTH PARTNERS | STEPHS TWO CENTS | SPARK | SOUTHERN WEALTH ADVISORS | SOLIDA FINANCIAL | SOCRATIC BETTER WEALTH | SIXTH MAN SPORTS MANAGEMENT | SIX PILLARS FINANCIAL ADVISORS | SISLO WEALTH MANAGEMENT | SILVERROCK WEALTH MANAGEMENT | SILVER KEY WEALTH MANAGEMENT | SECOND HALF STRATEGIES | SEACOAST WEALTH MANAGEMENT | SCHMIDT FINANCIAL RESOURCES | SAGE FINANCIAL SYSTEMS | RUTLEDGE FINANCIAL PARTNERS | ROLLER WEALTH MANAGEMENT | RJ WEALTH MANAGEMENT | RIGHTIREMENT WEALTH PARTNERS | REVANT WEALTH | RETIREMENT PATH FINANCIAL | REBER INVESTMENTS | R.J. SCHRIFT PRIVATE ASSET MANAGEMENT | R.F. TOLBERT WEALTH MANAGEMENT | R.F. TOLBERT FINANCIAL GROUP | PROVENCE WEALTH MANAGEMENT GROUP | PROSPERITY WEALTH ADVISORS | PRECISION POINT WEALTH MANAGEMENT | PARADIGM WEALTH PARTNERS | PALMETTO INVESTMENT CONSULTANTS | ORINOCO CAPITAL ADVISORS | ONE TREE HILL INVESTMENT ADVISORS | NORTON FINANICAL | NORTH POINT FINANCIAL PLANNERS | NEWPORT FINANCIAL PLANNING | NEW MARKET FINANCIAL ADVISORS | MOORE & BURKHARDT WEALTH MANAGEMENT | MONEYDOVE | MOHLMAN WEALTH MANAGEMENT | MIDTOWN ADVISORS | MFP FINANCIAL SERVICES | METCAP WEALTH MANAGEMENT | METCAP | METCALF CAPITAL WEALTH MANAGEMENT | MCQUILLING FINANCIAL SERVICES, LLC | MAYNARD & ASSOCIATES WEALTH MANAGEMENT | MATT MIKOLAJEWSKI WEALTH MANAGEMENT | MATT JELNICKY, CFP | MARZANO CAPITAL GROUP | MARLINE & ASSOCIATES WEALTH MANAGEMENT | MARKEY WEALTH MANAGEMENT | M&F WEALTH MANAGEMENT | LORD WEALTH MANAGEMENT | LIVSWELL | LIBERTY POINT ADVISORS | LIBERAL INVESTING | LEGACY WEALTH MANAGEMENT | LAURIE SCHAEFFER, CRPC ® | KORNERSTONE WEALTH MANAGEMENT | KNOW MY PLAN | KNIGHT FINANCIAL PLANNING SERVICES | KING WEALTH PARTNERS | K.A. GREGORY WEALTH MANAGEMENT | JOHN BAILEY FINANCIAL | JN WEALTH STRATEGIES | JEFFERY W. MASTERS & ASSOCIATES | JACKSON FINANCIAL GROUP | INVESTRA FINANCIAL SERVICES | INVESTRA | INTERGROWH FINANCIAL GROUP | INDEPENDENT ADVISOR ALLIANCE, LLC | HUTCHISON WEALTH MANAGEMENT GROUP | HOLLOWELL FINANCIAL GROUP | HMC PARTNERS | HENSLEY RETIREMENT PLANNING | HENDERSON WEALTH MANAGEMENT | HARWOOD WEALTH MANAGEMENT | HARVEY WEALTH MANAGEMENT | HARVEST WEALTH MANAGEMENT | HAGEN WEALTH MANAGEMENT | H. DEWEY THOMPSON FINANCIAL SERVICE | GRACE FINANCIAL SERVICES | GENWEALTH FINANCIAL ADVISORS | GENESIS FINANCIAL PARTNERS | GASKINS GIBSON CAPITAL | FREEMAN FINANCIAL | FREEDOM WEALTH PARTNERS | FOUNDERS PRIVATE WEALTH | FORWARD FINANCIAL GROUP | FOCUS WEALTH PLANNING | FIVESTONE FINANCIAL | FIT FINANCIAL WEALTH MANAGEMENT | FIRST COMMUNITY FINANCIAL CONSULTANTS | FAMILY WEALTH PARTNERS | FAIRVIEW STRATEGIC PLANNERS | EDMONDSON CAPITAL AND FINANCIAL PLANNING | EBERST WEALTH MANAGEMENT | E2E FINANCIAL | DU LAC WEALTH SERVICES | DOLF DUNN WEALTH MANAGEMENT | DISTINCTIVE WEALTH MANAGEMENT | DILL FINANCIAL SERVICES | DESIGNING WEALTH | DECKERT FINANCIAL | DAWES WEALTH MANAGEMENT | DAVIS FINANCIAL | DARPEL & HOWARD WEALTH ADVISORS | CYPRESS CAPITAL | CWL WEALTH MANAGEMENT | CURRY, MOORE & ASSOCIATES WEALTH ADVISORS | CT FINANCIAL | CROSSROADS FINANCIAL GROUP | CROSSOVER POINT ADVISORS | CRITICAL TRANSITIONS WEALTH ADVISORS | CRESCENT FINANCIAL GROUP | CREDO FINANCIAL ADVISORS | COUNCIL FAMILY OFFICE | CONNECTED WEALTH MANAGEMENT | COMPREHENSIVE PLANNING | COMPASS INVESTMENT ADVISORS, LLC | COJO BAY ADVISORS | COASTAL FINANCIAL PLANNING GROUP | CMPD12 CAPITAL | CLARIDENCE WEALTH | CHARLOTTE WEALTH ADVISORS | CHAMPION WEALTH MANAGEMENT | CFG | CERMAK-SERFASS WEALTH MANAGEMENT | CAUBLE SCHRIFT PRIVATE ASSET MANAGEMENT | CAUBLE SCHRIFT | CASTLE WEALTH PARTNERS | BUDD WEALTH MANAGEMENT | BRYANT & BOLICK FINANCIAL SERVICES | BOAN FINANCIAL GROUP | BLUEWATER FINANCIAL SERVICES | BLUEROCK INVESTMENT SERVICES | BLACKBRIDGE FINANCIAL | BEACON CAPITAL ADVISORY GROUP | BASS FINANCIAL MANAGEMENT | BARNES CAPITAL GROUP | BARNES BENEFIT CONSULTANTS | BALANCE WEALTH PARTNERS | AUDET WEALTH ADVISORS | ATLANTIC COAST WEALTH MANAGEMENT | ASSET ADVISORS | ASHWOOD WEALTH MANAGEMENT | ARMFIELD WEALTH | ALTITUDE WEALTH MANAGEMENT | ALASKA FINANCIAL ASSOCIATES...
CRD#: 168267 / SEC#: 801-78808
RIA
Registered Investment Advisory firm - (11/26/2013 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(2/28/2024)
RR
Arkansas(3/6/2024)
RR
California(2/28/2024)
RR
Colorado(2/28/2024)
RR
District of Columbia(2/28/2024)
RR
Florida(2/29/2024)
RR
Georgia(2/28/2024)
RR
Illinois(2/28/2024)
IAR
Illinois(2/28/2024)
RR
Indiana(3/7/2024)
RR
Iowa(2/28/2024)
RR
Kansas(7/19/2024)
RR
Kentucky(3/5/2024)
RR
Maryland(2/28/2024)
RR
Michigan(2/28/2024)
RR
Minnesota(3/5/2024)
RR
Missouri(2/28/2024)
RR
Nevada(2/28/2024)
RR
New York(2/28/2024)
RR
North Carolina(3/6/2024)
RR
Ohio(2/28/2024)
RR
Oklahoma(2/29/2024)
RR
Pennsylvania(2/28/2024)
RR
South Carolina(3/12/2024)
RR
Tennessee(2/28/2024)
RR
Texas(2/28/2024)
IAR
Texas(2/28/2024)
RR
Virginia(2/28/2024)
RR
Washington(2/28/2024)
RR
Wisconsin(2/28/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INDEPENDENT ADVISOR ALLIANCE, LLC
AFTON WEALTH MANAGEMENT | STOCKBRIDGE WEALTH ADVISORS | STILLWATER FINANCIAL ADVISORS | STEWARD GUIDE WEALTH PARTNERS | STEPHS TWO CENTS | SPARK | SOUTHERN WEALTH ADVISORS | SOLIDA FINANCIAL | SOCRATIC BETTER WEALTH | SIXTH MAN SPORTS MANAGEMENT | SIX PILLARS FINANCIAL ADVISORS | SISLO WEALTH MANAGEMENT | SILVERROCK WEALTH MANAGEMENT | SILVER KEY WEALTH MANAGEMENT | SECOND HALF STRATEGIES | SEACOAST WEALTH MANAGEMENT | SCHMIDT FINANCIAL RESOURCES | SAGE FINANCIAL SYSTEMS | RUTLEDGE FINANCIAL PARTNERS | ROLLER WEALTH MANAGEMENT | RJ WEALTH MANAGEMENT | RIGHTIREMENT WEALTH PARTNERS | REVANT WEALTH | RETIREMENT PATH FINANCIAL | REBER INVESTMENTS | R.J. SCHRIFT PRIVATE ASSET MANAGEMENT | R.F. TOLBERT WEALTH MANAGEMENT | R.F. TOLBERT FINANCIAL GROUP | PROVENCE WEALTH MANAGEMENT GROUP | PROSPERITY WEALTH ADVISORS | PRECISION POINT WEALTH MANAGEMENT | PARADIGM WEALTH PARTNERS | PALMETTO INVESTMENT CONSULTANTS | ORINOCO CAPITAL ADVISORS | ONE TREE HILL INVESTMENT ADVISORS | NORTON FINANICAL | NORTH POINT FINANCIAL PLANNERS | NEWPORT FINANCIAL PLANNING | NEW MARKET FINANCIAL ADVISORS | MOORE & BURKHARDT WEALTH MANAGEMENT | MONEYDOVE | MOHLMAN WEALTH MANAGEMENT | MIDTOWN ADVISORS | MFP FINANCIAL SERVICES | METCAP WEALTH MANAGEMENT | METCAP | METCALF CAPITAL WEALTH MANAGEMENT | MCQUILLING FINANCIAL SERVICES, LLC | MAYNARD & ASSOCIATES WEALTH MANAGEMENT | MATT MIKOLAJEWSKI WEALTH MANAGEMENT | MATT JELNICKY, CFP | MARZANO CAPITAL GROUP | MARLINE & ASSOCIATES WEALTH MANAGEMENT | MARKEY WEALTH MANAGEMENT | M&F WEALTH MANAGEMENT | LORD WEALTH MANAGEMENT | LIVSWELL | LIBERTY POINT ADVISORS | LIBERAL INVESTING | LEGACY WEALTH MANAGEMENT | LAURIE SCHAEFFER, CRPC ® | KORNERSTONE WEALTH MANAGEMENT | KNOW MY PLAN | KNIGHT FINANCIAL PLANNING SERVICES | KING WEALTH PARTNERS | K.A. GREGORY WEALTH MANAGEMENT | JOHN BAILEY FINANCIAL | JN WEALTH STRATEGIES | JEFFERY W. MASTERS & ASSOCIATES | JACKSON FINANCIAL GROUP | INVESTRA FINANCIAL SERVICES | INVESTRA | INTERGROWH FINANCIAL GROUP | INDEPENDENT ADVISOR ALLIANCE, LLC | HUTCHISON WEALTH MANAGEMENT GROUP | HOLLOWELL FINANCIAL GROUP | HMC PARTNERS | HENSLEY RETIREMENT PLANNING | HENDERSON WEALTH MANAGEMENT | HARWOOD WEALTH MANAGEMENT | HARVEY WEALTH MANAGEMENT | HARVEST WEALTH MANAGEMENT | HAGEN WEALTH MANAGEMENT | H. DEWEY THOMPSON FINANCIAL SERVICE | GRACE FINANCIAL SERVICES | GENWEALTH FINANCIAL ADVISORS | GENESIS FINANCIAL PARTNERS | GASKINS GIBSON CAPITAL | FREEMAN FINANCIAL | FREEDOM WEALTH PARTNERS | FOUNDERS PRIVATE WEALTH | FORWARD FINANCIAL GROUP | FOCUS WEALTH PLANNING | FIVESTONE FINANCIAL | FIT FINANCIAL WEALTH MANAGEMENT | FIRST COMMUNITY FINANCIAL CONSULTANTS | FAMILY WEALTH PARTNERS | FAIRVIEW STRATEGIC PLANNERS | EDMONDSON CAPITAL AND FINANCIAL PLANNING | EBERST WEALTH MANAGEMENT | E2E FINANCIAL | DU LAC WEALTH SERVICES | DOLF DUNN WEALTH MANAGEMENT | DISTINCTIVE WEALTH MANAGEMENT | DILL FINANCIAL SERVICES | DESIGNING WEALTH | DECKERT FINANCIAL | DAWES WEALTH MANAGEMENT | DAVIS FINANCIAL | DARPEL & HOWARD WEALTH ADVISORS | CYPRESS CAPITAL | CWL WEALTH MANAGEMENT | CURRY, MOORE & ASSOCIATES WEALTH ADVISORS | CT FINANCIAL | CROSSROADS FINANCIAL GROUP | CROSSOVER POINT ADVISORS | CRITICAL TRANSITIONS WEALTH ADVISORS | CRESCENT FINANCIAL GROUP | CREDO FINANCIAL ADVISORS | COUNCIL FAMILY OFFICE | CONNECTED WEALTH MANAGEMENT | COMPREHENSIVE PLANNING | COMPASS INVESTMENT ADVISORS, LLC | COJO BAY ADVISORS | COASTAL FINANCIAL PLANNING GROUP | CMPD12 CAPITAL | CLARIDENCE WEALTH | CHARLOTTE WEALTH ADVISORS | CHAMPION WEALTH MANAGEMENT | CFG | CERMAK-SERFASS WEALTH MANAGEMENT | CAUBLE SCHRIFT PRIVATE ASSET MANAGEMENT | CAUBLE SCHRIFT | CASTLE WEALTH PARTNERS | BUDD WEALTH MANAGEMENT | BRYANT & BOLICK FINANCIAL SERVICES | BOAN FINANCIAL GROUP | BLUEWATER FINANCIAL SERVICES | BLUEROCK INVESTMENT SERVICES | BLACKBRIDGE FINANCIAL | BEACON CAPITAL ADVISORY GROUP | BASS FINANCIAL MANAGEMENT | BARNES CAPITAL GROUP | BARNES BENEFIT CONSULTANTS | BALANCE WEALTH PARTNERS | AUDET WEALTH ADVISORS | ATLANTIC COAST WEALTH MANAGEMENT | ASSET ADVISORS | ASHWOOD WEALTH MANAGEMENT | ARMFIELD WEALTH | ALTITUDE WEALTH MANAGEMENT | ALASKA FINANCIAL ASSOCIATES...
CRD#: 168267 / SEC#: 801-78808
RIA
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Contact information
Main Address
11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277
Mailing Address
Phone number
(888) 430-1555
Established
Firm type
Fiscal year end
# of Employees
283
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 54,861 |
| AUM (Assets Under Management) | $ 14,074,143,679 |
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.
