Earl B. Hartley
Professional summary
Earl Barney Hartley, who also goes by Barney Hartley, Earl Bernard Hartley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tacoma, Washington and CETERA ADVISORS LLC located in Tacoma, Washington.
Earl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Earl has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 22, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Earl Barney Hartley's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6716 East Side Dr Ne Suite 5, Tacoma, WA 98422February 28, 2012 - Present
CETERA ADVISORS LLC
Office #1: 6716 East Side Dr Ne Suite 5, Tacoma, WA 98422February 28, 2012 - March 21, 2024
CETERA ADVISORS LLC
November 5, 2010 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
November 5, 2010 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
April 27, 2007 - November 5, 2010
UNITED SECURITIES ALLIANCE, INC.
March 1, 2007 - November 12, 2010
OSAIC WEALTH, INC.
March 1, 2007 - November 12, 2010
OSAIC WEALTH, INC.
June 28, 2004 - March 1, 2007
UNITED SECURITIES ALLIANCE, INC.
June 28, 2004 - March 1, 2007
UNITED SECURITIES ALLIANCE, INC.
August 19, 1999 - June 29, 2004
THE INVESTMENT CENTER, INC.
January 18, 1996 - June 29, 2004
THE INVESTMENT CENTER, INC.
January 1, 1996 - January 29, 1996
LOCUST STREET SECURITIES, INC.
October 19, 1990 - January 1, 1996
OLD SLIP CAPITAL MANAGEMENT, INC.
March 2, 1989 - August 5, 1989
SHURGARD REALTY ADVISORS, 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
(2/28/2012)
(10/8/2021)
(2/28/2012)
(10/18/2022)
(12/20/2023)
(5/29/2024)
(5/29/2024)
(10/18/2024)
(6/28/2023)
(7/31/2024)
(9/15/2023)
(2/28/2012)
(2/15/2017)
(2/4/2020)
(11/20/2018)
(2/28/2012)
(1/15/2026)
(1/29/2025)
(2/28/2012)
(3/21/2024)
(2/28/2012)
(3/21/2024)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationFINRA
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Tacoma, WA 98422TRUST BUT VERIFY
Monitor Earl Hartley
Get automatic monthly alerts on:
