Lami M. Harmon

VESTWELL ADVISORS

DENVER, CO

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CRD#: 5250595

Professional summary

Lami M Harmon, who also goes by Lami M Harmon Mr., Lami M Harmon, Lami Harmon, is a registered financial advisor currently at VESTWELL ADVISORS LLC located in Denver, Colorado and VESTWELL SECURITIES, LLC located in New York, New York.

Lami is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Lami has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Aliases

Lami M Harmon Mr. | Lami M Harmon | Lami Harmon

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 Lami M Harmon'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

July 20, 2026 - Present

VESTWELL ADVISORS LLC

RIA

CRD#: 284173

DENVER, CO

Current

July 8, 2026 - Present

VESTWELL SECURITIES, LLC

Office #1: 360 Madison Avenue 15th Floor, New York, NY 10017

CRD#: 331531

NEW YORK, NY

Past

January 4, 2022 - January 3, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Denver, CO

Past

January 4, 2022 - January 3, 2024

MORGAN STANLEY

CRD#: 149777

Denver, CO

Past

April 23, 2021 - November 22, 2021

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

GREENWOOD VILLAGE, CO

Past

January 27, 2021 - November 22, 2021

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

April 29, 2019 - October 12, 2020

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

January 22, 2007 - November 11, 2018

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

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".

VESTWELL ADVISORS LLC

CRD#: 284173 / SEC#: 801-107981

RIA

Registered Investment Advisory firm - (7/15/2016 Approved)

Kansas

Registered Investment Advisory firm - (1/23/2025 Terminated)

Mississippi

Registered Investment Advisory firm - (1/23/2025 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).

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

Colorado
(7/20/2026)

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: 4/21/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/1/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/27/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/20/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VESTWELL ADVISORS LLC

CRD#: 284173 / SEC#: 801-107981

RIA

Registered Investment Advisory firm - (7/15/2016 Approved)

Kansas

Registered Investment Advisory firm - (1/23/2025 Terminated)

Mississippi

Registered Investment Advisory firm - (1/23/2025 Terminated)

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Contact information

Main Address

360 Madison Avenue 15th Floor, New York, NY 10017

Mailing Address

Phone number

(917) 979-5358

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 - MARCH 28, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	7,946
AUM (Assets Under Management)	$ 427,149,041

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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Advisor Monitoring

Firm Stability Insights

Lami M. Harmon

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lami M Harmon's CRS (Customer Relationship Summary).

Certified licenses

Experience

VESTWELL SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

TRANSAMERICA CAPITAL, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

Primary Firm SEC Registration

VESTWELL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/21/2021

Series 63

Date: 5/1/2007

Series 7TO

Date: 1/27/2021

SIE

Date: 10/1/2018

Series 6

Date: 1/20/2007

FINRA

Current Firm

VESTWELL ADVISORS LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VESTWELL ADVISORS LLC

TRUST BUT VERIFY

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