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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.

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#:

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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

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