Ronald L. Harrington

CETERA INVESTMENT ADVISERS LLC

CARMEL, IN 46032

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CRD#: 237686

Professional summary

Ronald Lee Harrington, who also goes by Ron Harrington, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Carmel, Indiana and CETERA WEALTH SERVICES, LLC located in Carmel, Indiana.

Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1971. Ronald has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ron Harrington

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.

NAME OF OTHER BUSINESS: VARIOUS INSURANCE COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT START DATE: N/A APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: OFFERS FIXED LIFE, HEALTH AND DISABILITY; NAME OF OTHER BUSINESS: HARRINGTON FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE AND IAR START DATE: 10/02/2012 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: OFFERS A VARIETY OF FINANCIAL PRODUCTS AND SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Lee Harrington'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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 10435 Commerce Drive Suite 140, Carmel, IN 46032

RIA

CRD#: 105644

CARMEL, IN

Current

October 24, 2005 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CARMEL, IN

Past

November 21, 2005 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

January 8, 2004 - December 31, 2005

BLUE VASE SECURITIES, LLC

RIA

CRD#: 46765

INDIANAPOLIS, IN

Past

January 12, 2001 - October 24, 2005

BLUE VASE SECURITIES, LLC

CRD#: 46765

WASHINGTON, PA

Past

August 29, 1996 - January 16, 2001

SPECTRUM INVESTMENT SERVICES, INC.

CRD#: 36962

MISHAWAKA, IN

Past

January 10, 1994 - August 27, 1996

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

April 7, 1992 - January 11, 1994

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

July 20, 1990 - November 25, 1991

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

September 30, 1989 - December 7, 1990

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

October 21, 1987 - March 2, 1988

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

Past

October 21, 1987 - March 9, 1988

ONEAMERICA SECURITIES, INC.

CRD#: 4173

Past

April 16, 1971 - November 27, 1979

NYLIFE SECURITIES LLC

CRD#: 5167

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arizona
(8/10/2021)

Florida
(10/25/2006)

Illinois
(10/21/2013)

Indiana
(10/24/2005)

IAR

Indiana
(6/29/2023)

Kentucky
(3/16/2009)

Massachusetts
(3/2/2015)

Ohio
(10/24/2005)

Tennessee
(3/6/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/12/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 4/13/1971

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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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Firm Stability Insights

Ronald L. Harrington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Lee Harrington's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

BLUE VASE SECURITIES, LLC

BLUE VASE SECURITIES, LLC

SPECTRUM INVESTMENT SERVICES, INC.

CINCINNATI ANALYSTS, INC.

LOCUST STREET SECURITIES, INC.

ROBERT THOMAS SECURITIES, INC

GUARDIAN INVESTOR SERVICES LLC

AMERICAN UNITED LIFE INSURANCE COMPANY

ONEAMERICA SECURITIES, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/12/1990

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1987

Series 1

Date: 4/13/1971

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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