HN
Harris A. Nightingale
CETERA INVESTMENT ADVISERS LLC
NEW YORK, NY
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CRD#: 2756999
HN
Professional summary
Harris Alan Nightingale, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA WEALTH SERVICES, LLC located in New York, New York.
Harris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Harris has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
1. INDEPENDENT INSURANCE AGENT, LIFE, LONG TERM CARE, HEALTH, ACCIDENT AND DISABILITY, FROM BUSINESS ADDRESS, FOR 1HR/WK SINCE 2003; 2. NAME OF OTHER BUSINESS: SILVER FIN CAPITAL GROUP LLC; INVESTMENT RELATED: NO ; ADDRESS: 11 GRACE AVE., SUITE 406, GREAT NECK, NY 11021 ; NATURE OF BUSINESS: RESIDENTIAL / COMMERCIAL MORTGAGE ; START DATE:12/2022; APX NUMBER OF HOURS PER WEEK: 15 ; APX NUMBER OF HOURS DURING TRADING HOURS: 15 ; BRIEF DESCRIPTION OF DUTIES: MORTGAGE BROKER; 3. NAME OF OTHER BUSINESS: NF WEALTH MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2024, POSITION/TITLE/RELATIONSHIP: OWNER / MANAGING MEMBER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES & EXIT PLANNING (CEPA); 4. NAME OF OTHER BUSINESS: 11905 OAK TRAIL WAY LLC; INVESTMENT RELATED: NO ADDRESS: 11905 OAK TRAIL WAY, PORT RICHEY, FL 34668; NATURE OF BUSINESS: HOLDING COMPANY FOR PROPERTY; START DATE: 03/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: OWNER OF HOLDING COMPANY FOR PROPERTY; 5. NAME OF OTHER BUSINESS: ULEED LLC ; INVESTMENT RELATED: NO ; ADDRESS: 1001 S. MAIN ST. SUITE 700 KALLISPELL, MT 59901 ; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 2/2019 ; POSITION/TITLE/RELATIONSHIP: MEMBER/OWNER ; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: PASSIVE PROPERTY HOLDING COMPANY ;
CRS (Client Relationship Summary) - RIA
Click below to view Harris Alan Nightingale's 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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NEW YORK, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
NEW YORK, NY
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 31, 2006 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
NEW YORK, NY
Past
April 15, 2003 - September 13, 2004
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
NEW YORK, NY
Past
April 15, 2003 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
NEW YORK, NY
Past
June 22, 2001 - December 2, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 6, 2000 - May 29, 2001
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
July 24, 1998 - October 9, 1998
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
July 17, 1996 - July 24, 1998
THE BOSTON GROUP
BD
CRD#: 37652
LOS ANGELES, CA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
California(9/3/2013)
RR
Connecticut(9/3/2013)
RR
Delaware(7/6/2020)
RR
District of Columbia(4/6/2021)
RR
Florida(9/15/2016)
RR
Georgia(11/21/2016)
RR
Massachusetts(8/31/2022)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
IAR
New York(6/29/2023)
RR
North Carolina(8/28/2018)
RR
Oregon(11/20/2018)
RR
Tennessee(7/12/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
