Michael W. Harman
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.
Michael Wayne Harman was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2014 - September 8, 2015
CETERA INVESTMENT ADVISERS LLC
August 27, 2014 - September 8, 2015
CETERA INVESTMENT SERVICES LLC
August 29, 2011 - November 19, 2013
OSAIC INSTITUTIONS, INC.
August 29, 2011 - November 19, 2013
OSAIC INSTITUTIONS, INC.
January 21, 2005 - May 17, 2011
BB&T INVESTMENT SERVICES, INC.
January 20, 2005 - May 17, 2011
BB&T INVESTMENT SERVICES, INC.
September 10, 2003 - January 19, 2005
FIRST HORIZON ADVISORS, INC.
September 9, 2003 - January 19, 2005
FIRST HORIZON ADVISORS, INC.
June 28, 2000 - August 14, 2000
J.C. BRADFORD & CO.
November 13, 1998 - September 15, 2003
UBS FINANCIAL SERVICES INC.
May 15, 1997 - November 24, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 1987 - August 31, 1987
FORESTERS FINANCIAL SERVICES, 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 | ||
| 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.
