AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JH

John M. Harman

Some features on this profile are disabled
CRD#: 4763429
JH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Martin Harman, who also goes by John Harman, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2004. John had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Harman

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 16, 2020 - August 24, 2025

HAWSER CAPITAL MANAGEMENT

RIA
CRD#: 307742
Charleston, SC
Past

June 8, 2016 - January 25, 2019

OSAIC WEALTH, INC.

BD
CRD#: 23131
CHARLESTON, SC
Past

June 7, 2016 - January 25, 2019

OSAIC WEALTH, INC.

RIA
CRD#: 23131
CHARLESTON, SC
Past

May 14, 2007 - May 20, 2016

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA
CRD#: 13609
CHARLESTON, SC
Past

May 3, 2007 - May 20, 2016

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
CHARLESTON, SC
Past

November 18, 2005 - November 13, 2006

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
DANIEL ISLAND, SC
Past

November 18, 2005 - November 13, 2006

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
DANIEL ISLAND, SC
Past

November 2, 2005 - November 8, 2005

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
MOUNT PLEASANT, SC
Past

September 28, 2005 - November 8, 2005

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

August 6, 2004 - August 31, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHARLESTON, SC
Past

June 30, 2004 - August 31, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 28, 2004 - June 22, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/5/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/21/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/27/2004
General Securities Representative Examination

Current Firm

HC
HAWSER CAPITAL MANAGEMENT
HAWSER CAPITAL | HAWSER CAPITAL MANAGEMENT, LLC | HAWSER CAPITAL MANAGEMENT

CRD#: 307742 / SEC#:

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
Charleston, SC
Mailing Address
Phone number
(843) 534-3703
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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.

Company Information

HAWSER CAPITAL MANAGEMENT

CRD#: 307742

TRUST BUT VERIFY

Monitor John Harman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.