Harry A. Mewes
Professional summary
Harry Arthur Mewes, AIF®, CFP®, ChFC®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Waukesha, Wisconsin and CETERA INVESTMENT SERVICES LLC located in Waukesha, Wisconsin.
Harry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Harry has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Harry Arthur Mewes's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2003
Experience
January 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 151 E St Paul Avenue, Waukesha, WI 53187May 30, 2006 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 151 E St Paul Avenue, Waukesha, WI 53188May 30, 2006 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
April 19, 2001 - May 31, 2006
ESSEX NATIONAL SECURITIES, LLC
February 8, 2000 - April 20, 2001
INVEST FINANCIAL CORPORATION
July 2, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 2, 1990 - February 8, 2000
PRUCO SECURITIES, LLC.
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
(3/4/2020)
(11/4/2008)
(7/9/2013)
(8/10/2006)
(5/30/2006)
(5/30/2006)
(10/14/2024)
(5/30/2006)
(9/19/2006)
(3/1/2010)
(4/6/2015)
(5/31/2018)
(9/13/2011)
(6/1/2023)
(10/23/2007)
(7/29/2015)
(1/5/2016)
(1/12/2023)
(6/10/2025)
(5/30/2006)
(1/21/2014)
Exams
FINRA
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.
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Waukesha, WI 53187TRUST BUT VERIFY
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