Robby D. Harfst

HARFST AND ASSOCIATES

Sheridan, WY 82801

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CRD#: 2319056

Professional summary

Robby Dean Harfst, CFP®, who also goes by Rob D Harfst, Rob Dean Harfst, is a registered financial advisor currently at HARFST AND ASSOCIATES, INC. located in Sheridan, Wyoming.

Robby is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Robby has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rob D Harfst | Rob Dean Harfst

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.

(1.) SELL LIFE, HEALTH/DISABILITY AND LONG-TERM CARE INSURANCE AS INDEPENDENT AGENT. LICENSED WITH MANY COMPANIES: Genworth, John Hancock, Transamerica, MassMutual, Protective (2.) Harfst Ranch; purebred cattle business

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robby Dean Harfst'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: 2005

Experience

Current

September 27, 2007 - Present

HARFST AND ASSOCIATES, INC.

Office #1: 1949 Sugarland Drive #220, Sheridan, WY 82801

RIA

CRD#: 145090

Sheridan, WY

Past

January 2, 2009 - July 1, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

ASHLAND, OR

Past

June 30, 2005 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

ASHLAND, OR

Past

March 5, 2002 - July 1, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ASHLAND, OR

Past

May 18, 2000 - March 5, 2002

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

January 4, 1999 - May 18, 2000

FAIRPORT CAPITAL, INC.

CRD#: 15034

SCOTTSDALE, AZ

Past

January 5, 1998 - December 31, 1998

OHANESIAN / LECOURS, INC.

CRD#: 23757

WEST HARTFORD, CT

Past

February 24, 1993 - December 31, 1997

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

HARFST AND ASSOCIATES, INC.

CASCADE INVESTMENT COUNSEL | HARFST AND ASSOCIATES, LLC | HARFST AND ASSOCIATES, INC. | HARFST AND ASSOCIATES

CRD#: 145090 / SEC#: 801-71661

RIA

Registered Investment Advisory firm - (7/21/2010 Approved)

Oregon

Registered Investment Advisory firm - (9/15/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Oregon
(9/27/2007)

IAR

Texas
(7/22/2010)

IAR

Wyoming
(2/28/2022)

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

IAR

Series 65

Date: 4/24/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/16/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/22/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 9/15/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/25/2002

General Securities Principal Examination

Current Firm

HARFST AND ASSOCIATES, INC.

CASCADE INVESTMENT COUNSEL | HARFST AND ASSOCIATES, LLC | HARFST AND ASSOCIATES, INC. | HARFST AND ASSOCIATES

CRD#: 145090 / SEC#: 801-71661

RIA

Registered Investment Advisory firm - (7/21/2010 Approved)

Oregon

Registered Investment Advisory firm - (9/15/2010 Terminated)

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Contact information

Main Address

1949 Sugarland Drive #220, Sheridan, WY 82801

Mailing Address

Phone number

(307) 218-5667

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HARFST AND ASSOCIATES, INC. ADV BROCHURE (3/23/2025)

Regulatory assets under management

Total Number of Accounts	1,531
AUM (Assets Under Management)	$ 721,730,521

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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Robby D. Harfst

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robby Dean Harfst's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

COMMONWEALTH FINANCIAL NETWORK

FAIRPORT CAPITAL, INC.

OHANESIAN / LECOURS, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

HARFST AND ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/24/1998

Series 63

Date: 3/29/1993

Series 7

Date: 9/16/2000

Series 6

Date: 2/22/1993

Series 51

Date: 9/15/2003

Series 24

Date: 2/25/2002

Current Firm

HARFST AND ASSOCIATES, INC.

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARFST AND ASSOCIATES, INC.

TRUST BUT VERIFY

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