Michael K. Harnett

HARNETT INVESTMENT ADVISERS LLC

CARLSBAD, CA

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CRD#: 2873218

Professional summary

Michael Keith Harnett is a registered financial advisor currently at HARNETT INVESTMENT ADVISERS LLC located in Carlsbad, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Michael has worked at 5 firms and has passed the Series 66, Series 63 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Keith Harnett'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®

None

Experience

Current

August 13, 2008 - Present

HARNETT INVESTMENT ADVISERS LLC

RIA

CRD#: 147801

CARLSBAD, CA

Past

January 28, 2008 - June 9, 2008

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

SAN DIEGO, CA

Past

January 28, 2008 - June 9, 2008

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

SAN DIEGO, CA

Past

November 11, 2005 - March 26, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LA JOLLA, CA

Past

November 1, 2005 - March 26, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LA JOLLA, CA

Past

June 24, 2002 - July 25, 2002

CITIZENS JMP SECURITIES, LLC

CRD#: 22208

SAN FRANCISCO, CA

Past

May 8, 1997 - April 23, 1999

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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

California
(8/13/2008)

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 66

Date: 11/10/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/24/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/31/2005

General Securities Representative Examination

Current Firm

HARNETT INVESTMENT ADVISERS LLC

CRD#: 147801 / SEC#:

California

Registered Investment Advisory firm - (8/13/2008 Approved)

New York

Registered Investment Advisory firm - (12/31/2022 Terminated)

Texas

Registered Investment Advisory firm - (11/27/2012 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).

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Contact information

Main Address

Carlsbad, CA

Mailing Address

Phone number

(760) 476-1468

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	85
AUM (Assets Under Management)	$ 35,000,000

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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Michael K. Harnett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Keith Harnett's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARNETT INVESTMENT ADVISERS LLC

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIZENS JMP SECURITIES, LLC

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2005

Series 63

Date: 6/24/2002

Series 7

Date: 10/31/2005

Current Firm

HARNETT INVESTMENT ADVISERS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HARNETT INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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