Brian Harder

CETERA INVESTMENT ADVISERS LLC

Denver, CO

Some features on this profile are disabled

CRD#: 4145239

Professional summary

Brian Harder, who also goes by Brian Robert Harder, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Denver, Colorado and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Robert Harder

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.

AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES. POSITION: rep NATURE: sell insurance through Avantax INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/21/2022 ADDRESS: 3200 Olympus Blvd., Suite 100, Dallas TX 75019, United States DESCRIPTION: sell insurance through Avantax

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Harder'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Denver, CO

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019

CRD#: 13572

DALLAS, TX

Past

March 21, 2022 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

DALLAS, TX

Past

March 21, 2022 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

February 24, 2020 - March 31, 2022

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

Broomfield, CO

Past

December 4, 2017 - June 28, 2019

DUNHAM

CRD#: 13162

SAN DIEGO, CA

Past

February 27, 2013 - April 4, 2017

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

CRD#: 119546

DENVER, CO

Past

November 8, 2006 - March 5, 2013

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

September 8, 2000 - August 13, 2003

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

WESTLAKE VILLAGE, CA

Past

April 24, 2000 - September 8, 2000

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

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

Colorado
(9/5/2025)

IAR

Colorado
(9/5/2025)

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

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 65

Date: 8/22/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/30/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/27/2006

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: 12/21/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/7/2006

Investment Company Products/Variable Contracts 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian Harder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Harder's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

COUNTRY CAPITAL MANAGEMENT COMPANY

DUNHAM

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

FARMERS FINANCIAL SOLUTIONS, LLC

INVESTORS BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2022

Series 66

Date: 4/30/2018

Series 63

Date: 11/27/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/21/2012

Series 6

Date: 11/7/2006

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

Similar Advisors