Marc E. Henn

HARVEST FINANCIAL ADVISORS

CINCINNATI, OH 45202

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CRD#: 2120816

Professional summary

Marc Erle Henn, CFP® is a registered financial advisor currently at HARVEST FINANCIAL ADVISORS, LLC located in Cincinnati, Ohio.

Marc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Marc has worked at 4 firms and has passed the Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

MR. HENN IS AN INDUSTRY ARBITRATOR WITH FINRA IN CHICAGO, IL SINCE 09/2004. NOT AN INVESTMENT-RELATED ACTIVITY. 5 HOURS PER MONTH DEVOTED TO THIS ACTIVITY WITH 1 HOUR PER MONTH OCCURRING DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Erle Henn'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: 1996

Experience

Current

November 20, 2007 - Present

HARVEST FINANCIAL ADVISORS, LLC

Office #1: 312 Walnut Street Suite 3300, Cincinnati, OH 45202

RIA

CRD#: 145552

CINCINNATI, OH

Past

May 21, 2002 - January 14, 2008

HABERER REGISTERED INVESTMENT ADVISOR INC

RIA

CRD#: 110382

CINCINNATI, OH

Past

January 31, 1992 - August 2, 1995

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

March 8, 1991 - June 6, 1991

HIBBARD BROWN & CO., INC.

CRD#: 18246

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".

HARVEST FINANCIAL ADVISORS, LLC

CRD#: 145552 / SEC#: 801-68507

RIA

Registered Investment Advisory firm - (11/16/2007 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.

Highlighted states indicate IAR registrations

IAR

Florida
(12/1/2014)

IAR

Indiana
(5/10/2010)

IAR

Kentucky
(5/19/2010)

IAR

Ohio
(11/20/2007)

IAR

Pennsylvania
(1/8/2021)

IAR

Texas
(5/19/2010)

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.

Exams

State Security Law Exam

Series 63

Date: 3/25/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/7/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/12/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

HARVEST FINANCIAL ADVISORS, LLC

CRD#: 145552 / SEC#: 801-68507

RIA

Registered Investment Advisory firm - (11/16/2007 Approved)

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Contact information

Main Address

8840 Cincinnati-dayton Road, West Chester, OH 45069

Mailing Address

Phone number

(513) 779-3030

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A, 2B 3-31-2025 (8/18/2025)

FORM ADV PART 2A, 2B 3-21-2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	1,295
AUM (Assets Under Management)	$ 582,622,483

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/16/2024	Cover Page	Report
10/23/2023	Cover Page	Report
01/18/2023	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.

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Advisor Monitoring

Firm Stability Insights

Marc E. Henn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Erle Henn's CRS (Customer Relationship Summary).

Certified licenses

Experience

HABERER REGISTERED INVESTMENT ADVISOR INC

CHARLES SCHWAB & CO., INC.

HIBBARD BROWN & CO., INC.

Primary Firm SEC Registration

HARVEST FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/25/1991

Series 7

Date: 3/7/1991

Series 8

Date: 10/12/1993

Current Firm

HARVEST FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HARVEST FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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