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NH

Neil F. Harnen

CETERA INVESTMENT ADVISERS LLC
WHEATON, IL 60187
Some features on this profile are disabled
CRD#: 1982353
NH

Professional summary

Neil Francis Harnen, CFP®, who also goes by Neil F Harnen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wheaton, Illinois and CETERA INVESTMENT SERVICES LLC located in Wheaton, Illinois.

Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Neil has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Neil F Harnen

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Francis Harnen'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®
CFP®

Certified Financial Planner

Start date: 2016

Experience

Current

January 5, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 212 S West St, Wheaton, IL 60187
RIA
CRD#: 105644
WHEATON, IL
Current

December 24, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 212 S West St, Wheaton, IL 60187
BD
CRD#: 15340
WHEATON, IL
Past

July 14, 2023 - December 26, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
WHEATON, IL
Past

July 11, 2023 - December 26, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
WHEATON, IL
Past

July 22, 2022 - July 12, 2023

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
OAKBROOK TERRACE, IL
Past

February 21, 2019 - July 12, 2023

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
OAKBROOK TERRACE, IL
Past

February 5, 2019 - July 22, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
OAKBROOK TERRACE, IL
Past

July 16, 2014 - February 13, 2019

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
SAINT CHARLES, IL
Past

July 8, 2014 - February 13, 2019

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
Woodridge, IL
Past

June 12, 2007 - May 16, 2014

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
AURORA, IL
Past

June 12, 2007 - May 16, 2014

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
AURORA, IL
Past

October 20, 2006 - June 4, 2007

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
SCHAUMBURG, IL
Past

October 4, 2006 - June 4, 2007

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
SCHAUMBURG, IL
Past

January 18, 2006 - May 9, 2006

CASSANDRA TRADING GROUP, LLC

BD
CRD#: 117818
CHICAGO, IL

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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.
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
Illinois
(1/5/2026)
IAR
Illinois
(1/5/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/19/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/10/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Wheaton, IL 60187

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