Craig C. Harbin

CETERA INVESTMENT ADVISERS LLC

WESTLAKE VILLAGE, CA

Some features on this profile are disabled

CRD#: 1626384

Professional summary

Craig Charles Harbin, who also goes by Charles Craig Harbin, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westlake Village, California and CETERA INVESTMENT SERVICES LLC located in Westlake Village, California.

Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Craig has worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Craig Harbin

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.) OWNER OF C. CRAIG INSURANCE SERVICES; SALE OF PROPERTY AND CASUALTY INSURANCE. 2.) SALES OF PRECIOUS METALS THROUGH ALLEGIANCE GOLD, 25/HRS/WK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Charles Harbin'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

June 23, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WESTLAKE VILLAGE, CA

Current

June 23, 2025 - Present

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

WESTLAKE VILLAGE, CA

Past

April 2, 2019 - March 4, 2025

SIEBERT ADVISORNXT, LLC.

RIA

CRD#: 288572

Beverly Hills, CA

Past

April 2, 2019 - March 4, 2025

MURIEL SIEBERT & CO., LLC

CRD#: 5376

Beverly Hills, CA

Past

May 16, 2018 - April 8, 2019

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

LOS ANGELES, CA

Past

May 16, 2018 - April 8, 2019

OPPENHEIMER & CO. INC.

CRD#: 249

LOS ANGELES, CA

Past

March 2, 2016 - May 24, 2018

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

GLENDALE, CA

Past

March 1, 2016 - May 24, 2018

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

GLENDALE, CA

Past

September 15, 2014 - February 24, 2016

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

BEVERLY HILLS, CA

Past

September 12, 2014 - February 24, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

BEVERLY HILLS, CA

Past

May 8, 2013 - September 12, 2014

STOCKCROSS FINANCIAL SERVICES, INC.

RIA

CRD#: 6670

BEVERLY HILLS, CA

Past

July 12, 2005 - September 12, 2014

STOCKCROSS FINANCIAL SERVICES, INC.

CRD#: 6670

BEVERLY HILLS, CA

Past

July 30, 2004 - July 5, 2005

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

HARTVILLE, OH

Past

March 15, 2000 - June 28, 2004

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

April 12, 1999 - March 8, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 7, 1997 - April 15, 1999

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

April 21, 1992 - November 7, 1997

KENNEDY, CABOT & CO.

CRD#: 2417

BEVERLY HILLS, CA

Past

February 25, 1992 - March 19, 1992

DRAKE & COMPANY, INC.

CRD#: 16227

NEW YORK, NY

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

Arizona
(6/24/2025)

California
(6/23/2025)

IAR

California
(6/23/2025)

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 65

Date: 11/26/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/28/1992

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: 2/24/1992

General Securities 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)

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)

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Craig C. Harbin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Charles Harbin's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

SIEBERT ADVISORNXT, LLC.

MURIEL SIEBERT & CO., LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

STOCKCROSS FINANCIAL SERVICES, INC.

STOCKCROSS FINANCIAL SERVICES, INC.

CAPITAL SECURITIES OF AMERICA, INC.

TD AMERITRADE, INC.

UBS FINANCIAL SERVICES INC.

TD AMERITRADE, INC.

KENNEDY, CABOT & CO.

DRAKE & COMPANY, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/26/2014

Series 63

Date: 4/28/1992

SIE

Date: 10/1/2018

Series 7

Date: 2/24/1992

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

Contact information

Similar Advisors