Eric E. Harley

CETERA INVESTMENT ADVISERS LLC

Merrick, NY 11566

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CRD#: 2678289

Professional summary

Eric E. Harley, who also goes by Eric E Harley, Eric Evan Harley Mr, Eric Evan Harley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Merrick, New York and CETERA WEALTH SERVICES, LLC located in Merrick, New York.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Eric has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric E Harley | Eric Evan Harley Mr | Eric Evan Harley

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. NAME OF OTHER BUSINESS: OMEGA 88 GROUP LLC INVESTMENT RELATED: NO ADDRESS: ARVERNE, NY 11692 NATURE OF BUSINESS: PASSTHROUGH RECEIVING FEES AND COMMISSIONS START DATE: 12/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: SINGLE OWNER; 2. NAME OF OTHER BUSINESS: MERRICK FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 1/2022 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING; 3. NAME OF OTHER BUSINESS: MERRICK CARES FOR BLUE INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: 501C3 THAT FOCUS ON SUPPORTING THE FAMILIES OF FIRST RESPONDERS AND THE COMMUNITY THAT SUPPORTS THEM START DATE: 1/2025 POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: SUPPORTING PRESIDENT AND HIS/HER AGENDA, EDUCATIONS EFFORTS AND FUND RAISING TO SUPPORT FIRST RESPONDERS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric E. Harley'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

May 1, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1840 Merrick Ave, Merrick, NY 11566

RIA

CRD#: 105644

Merrick, NY

Current

May 1, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1840 Merrick Ave, Merrick, NY 11566

CRD#: 7059

NEW YORK, NY

Past

July 13, 1998 - January 21, 2000

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

March 27, 1997 - June 10, 1998

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

October 11, 1996 - April 8, 1997

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

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

Florida
(5/2/2025)

New Jersey
(5/5/2025)

IAR

New York
(5/1/2025)

New York
(5/2/2025)

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

IAR

Series 66

Date: 1/11/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/1/1996

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: 10/10/1996

General Securities 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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Eric E. Harley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric E. Harley's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

BNY MELLON SECURITIES CORPORATION

JWGENESIS SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/11/2005

Series 63

Date: 11/1/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/10/1996

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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