Alan M. Harter
Professional summary
Alan Mitchell Harter, who also goes by Alan M Harter, is a registered financial advisor currently at PACTOLUS located in Vienna, Virginia and PACTOLUS CAPITAL PARTNERS located in Vienna, Virginia.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Alan has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alan Mitchell Harter's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2011 - Present
PACTOLUS
Office #1: 8614 Westwood Center Drive Suite 620, Vienna, VA 22182September 25, 2014 - Present
PACTOLUS CAPITAL PARTNERS
Office #1: 8614 Westwood Center Drive Suite 620, Vienna, VA 22182Office #2: 8614 Westwood Center Drive Suite 620, Vienna, VA 22182July 26, 2012 - October 12, 2012
BLACKBOOK CAPITAL, LLC
July 25, 2011 - May 25, 2012
FOREFRONT CAPITAL MARKETS LLC
June 1, 2009 - February 7, 2011
MORGAN STANLEY
June 1, 2009 - February 7, 2011
MORGAN STANLEY
January 20, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 20, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 27, 2003 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
May 27, 2003 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1997 - December 2, 2002
UBS FINANCIAL SERVICES INC.
October 16, 1995 - December 2, 2002
UBS FINANCIAL SERVICES INC.
September 5, 1991 - October 24, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PACTOLUS
CRD#: 155195 / SEC#: 801-71915
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/30/2019)
(10/11/2019)
(9/23/2019)
(9/21/2017)
(11/19/2019)
(9/27/2019)
(3/28/2021)
(3/2/2023)
(9/3/2019)
(4/1/2021)
(12/3/2019)
(1/28/2011)
(10/14/2014)
(4/1/2021)
Exams
FINRA
Current Firm
PACTOLUS
CRD#: 155195 / SEC#: 801-71915
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 315 |
| AUM (Assets Under Management) | $ 182,552,022 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 11/22/2024 | ||
| 10/27/2023 | ||
| 11/22/2022 |
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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