Jonathan W. Harrier
CFG WEALTH MANAGEMENT SERVICES
Indianapolis, IN 46256
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CRD#: 2940130
Professional summary
Jonathan Wayne Harrier, CFP® is a registered financial advisor currently at CFG WEALTH MANAGEMENT SERVICES INC located in Indianapolis, Indiana.
Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Jonathan has worked at 5 firms and has passed the Series 65, Series 63, 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.
Business Name: Compass Compliance Consultants, LLC Not investment related Address: 9840 Westpoint Drive, Suite 150, Indianapolis, IN 46256 Nature of business: marketing and distribution of a web-based compliance tool for ERISA plan sponsors Position: Managing Director Start Date of Relationship: 12/2015 Approximately time devoted to this business: 0-2 hours per month Duties: marketing
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Wayne Harrier'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®
CFP®
Start date: 2010
Experience
Current
August 4, 2009 - Present
CFG WEALTH MANAGEMENT SERVICES INC
Office #1: 9840 Westpoint Drive Suite 150, Indianapolis, IN 46256RIA
CRD#: 108351
Indianapolis, IN
Past
January 1, 2004 - December 31, 2004
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
November 19, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
October 14, 1998 - March 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 7, 1998 - May 14, 1998
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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(6/10/2011)
IAR
Florida(4/24/2012)
IAR
Indiana(8/4/2009)
IAR
Texas(5/6/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
CFG WEALTH MANAGEMENT SERVICES INC
CFG WEALTH MANAGEMENT SERVICES INC
CRD#: 108351 / SEC#: 801-26372
RIA
Registered Investment Advisory firm - (6/20/2012 Terminated)California
Registered Investment Advisory firm - (6/9/2011 Approved)Florida
Registered Investment Advisory firm - (5/10/2012 Approved)Indiana
Registered Investment Advisory firm - (4/8/2011 Approved)Texas
Registered Investment Advisory firm - (4/19/2021 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9840 Westpoint Drive Suite 150, Indianapolis, IN 46256
Mailing Address
Phone number
(317) 841-7959
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 201 |
| AUM (Assets Under Management) | $ 97,566,362 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 8/16/2012 |
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.
