Aaron J. Harken

CGI WEALTH ADVISORS

Frazer, PA 19355

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CRD#: 2777443

Professional summary

Aaron John Harken, AIF® is a registered financial advisor currently at CGI WEALTH ADVISORS, INC. located in Frazer, Pennsylvania.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Aaron has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 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. FIXED INSURANCE SALES AS AGENT IN BRANCH LOCATION; THE CONESTOGA GROUP, INC.; INVESTMENT ADVISOR; STARTED 07/2000; 10-20 HOURS PER MONTH BETWEEN 7:00AM AND 7:00PM; SALES & SERVICE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron John Harken'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

February 16, 2021 - Present

CGI WEALTH ADVISORS, INC.

Office #1: Swedesford Corporate Center 601 Swedesford Road, Frazer, PA 19355

RIA

CRD#: 311273

Frazer, PA

Past

September 10, 2010 - December 18, 2020

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

FRAZER, PA

Past

May 1, 2002 - December 18, 2020

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

FRAZER, PA

Past

December 4, 2000 - May 2, 2002

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

August 15, 1996 - December 31, 1999

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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".

CGI WEALTH ADVISORS, INC.

CRD#: 311273 / SEC#: 801-119875

RIA

Registered Investment Advisory firm - (12/4/2020 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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(2/16/2021)

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

Series 63

Date: 8/30/1996

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: 12/13/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/14/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CGI WEALTH ADVISORS, INC.

CRD#: 311273 / SEC#: 801-119875

RIA

Registered Investment Advisory firm - (12/4/2020 Approved)

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Contact information

Main Address

Swedesford Corporate Center 601 Swedesford Road, Frazer, PA 19355

Mailing Address

Phone number

(610) 854-1425

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CGI WEALTH ADVISORS 01 2025 (1/21/2025)

Regulatory assets under management

Total Number of Accounts	111
AUM (Assets Under Management)	$ 109,869,467

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Aaron J. Harken

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron John Harken's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

FSC SECURITIES CORPORATION

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

CGI WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/1996

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2001

Series 6

Date: 8/14/1996

Current Firm

CGI WEALTH ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CGI WEALTH ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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