Craig C. Harbin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Craig Charles Harbin, who also goes by Charles Craig Harbin, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1992. Craig had worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2025 - July 10, 2026
CETERA INVESTMENT ADVISERS LLC
June 23, 2025 - July 10, 2026
CETERA INVESTMENT SERVICES LLC
April 2, 2019 - March 4, 2025
SIEBERT ADVISORNXT, LLC.
April 2, 2019 - March 4, 2025
MURIEL SIEBERT & CO., LLC
May 16, 2018 - April 8, 2019
OPPENHEIMER & CO. INC.
May 16, 2018 - April 8, 2019
OPPENHEIMER & CO. INC.
March 2, 2016 - May 24, 2018
BANCWEST INVESTMENT SERVICES, INC.
March 1, 2016 - May 24, 2018
BANCWEST INVESTMENT SERVICES, INC.
September 15, 2014 - February 24, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 12, 2014 - February 24, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 8, 2013 - September 12, 2014
STOCKCROSS FINANCIAL SERVICES, INC.
July 12, 2005 - September 12, 2014
STOCKCROSS FINANCIAL SERVICES, INC.
July 30, 2004 - July 5, 2005
CAPITAL SECURITIES OF AMERICA, INC.
March 15, 2000 - June 28, 2004
TD AMERITRADE, INC.
April 12, 1999 - March 8, 2000
UBS FINANCIAL SERVICES INC.
November 7, 1997 - April 15, 1999
TD AMERITRADE, INC.
April 21, 1992 - November 7, 1997
KENNEDY, CABOT & CO.
February 25, 1992 - March 19, 1992
DRAKE & COMPANY, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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.
