Richard Eugene Harman Iii
AIF®Professional Summary
Richard Eugene Harman III, AIF® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Ormond Beach, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Ormond Beach, Florida. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Richard has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Credentials
Years of Experience
19 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
1938 WEALTH ADVISORS | BEYOND WEALTH LLC | BEYOND FINANCIAL PLANNING | BETTENDORF FINANCIAL GROUP | BETA INDUSTRIES INC | BESSELMAN AND ASSOCIATES DBA BESSELMAN WEALTH PLANNERS | BERGERON FINANCIAL | BENZOR CAPITAL WEALTH | BENOIT FINANCIAL PLANNERS | BENOIT FINANCIAL GROUP LLC DBA BENOIT FINANCIAL PLANNERS | BENKENDORFER INVESTMENT GROUP | BENCHMARK WEALTH ADVISORY LLC | BENCHMARK WEALTH ADVISORY | BELL FINANCIAL INC | BEDFORD WEALTH ADVISORS | BECKWITH FINANCIAL SERVICES | BECKER FINANCIAL SERVICES INC | BEALE FINANCIAL GROUP | BEACON COVE FINANCIAL | BEACON CAPITAL MANAGEMENT ADVISORS | BCF GROUP LLC | BCB INVESTMENT SERVICES | BAWAR ASSET MANAGEMENT LLC | BAUER FINANCIAL SERVICES LLC DBA HAYES FINANCIAL ADVISORS | BATESON WEALTH MANAGEMENT | BASS FINANCIAL STRATEGIES INC | BASK FINANCIAL ADVISORS | BARTON FINANCIAL SERVICES INC | BARTLETT WEALTH MANAGEMENT | BARKER LEGACY FINANCIAL LLC | BARKER INVESTMENT SERVICES | BARCOMB WEALTH MANAGEMENT | BARBARA MULL INVESTMENT SOLUTIONS | BAR -G FINANCIAL SERVICES | BANKHEAD WEALTH PARTNERS | BANK IOWA INVESTMENT CENTER | BAKER WEALTH MANAGEMENT INC | BAKER WEALTH MANAGEMENT | BAKER FINANCIAL GROUP | BAHR CASEY FINANCIAL SERVICES | BABCOCK INSURANCE & FINANCIAL SERVICES | B RENNER LLC | AXIOM WEALTH PARTNERS, LLC | AXIOM WEALTH PARTNERS LLC | AXIOM WEALTH PARTNERS | AXIOM WEALTH ALLIANCE LLC | AXIOM WEALTH ALLIANCE | AXIOM NH LLC | AVANA WEALTH MANAGEMENT | ATTITUDE FINANCIAL ADVISORS | ATTAIN WEALTH PLANNING | ATTAIN WEALTH | ATLAS WEALTH MANAGEMENT LLC | ATLAS WEALTH ADVISERS | ATLAS ADVISORY GROUP | ATLANTIC CAPITAL PARTNERS LLC | ATLANTIC CAPITAL PARTNERS | ATHOS CAPITAL ADVISORS | ATHLON WEALTH ADVISORS | ATHLON ADVISORS LLC | ATHLON ADVISORS | ATHENA LEGACY SOLUTIONS LLC | ASSURED PARTNERS | ASSOCIATED PLANNING SERVICES INC | ASSOCIATED FINANCIAL PLANNERS LLC | ASPIRE INVESTMENT MANAGEMENT | ASPEN CREEK INVESTMENTS LLC | ASCENT WEALTH STRATEGIES GROUP LLC | ASCENT ASSET GROUP | ASCEND WEALTH PLANNING LLC | ASCEND WEALTH PLANNING | ASCEND WEALTH MANAGEMENT LLC | ASCEND WEALTH CONSULTING | ARTISAN CAPITAL MANAGEMENT LLC | ARROWSTAR FINANCIAL INC. | ARROWSTAR FINANCIAL INC | ARROWSTAR FINANCIAL | ARROWHEAD FINANCIAL SERVICES | ARROWHEAD FIN SERVICES | ARNER INVESTMENT MANAGEMENT LLC | ARMSTRONG WEALTH MANAGEMENT | AR WEALTH MANAGEMENT | APEX FINANCIAL GROUP LLC | APEX FINANCIAL GROUP | ANTONETTE MARKETING INC DBA WH BLACK & COMPANY | ANTONETTE MARKETING INC DBA PENSIONSPECIALIST.NET | ANTHONY BARRESE ASSET MANAGEMENT | ANNA VOLLENWEIDER DBA SIMPLICITY FINANCIAL PLANNING LLC | ANGLE-LAU WEALTH MANAGEMENT | ANDERSON FINANCIAL SOLUTIONS & INSURANCE SERVICES | ANCHOR WEALTH MANAGEMENT LLC | ANCHOR WEALTH MANAGEMENT | ANCHOR POINT WEALTH ADVISORS LLC | ANCHOR CERTIFIED PLANNERS GROUP INC | ANCHOR CERTIFIED PLANNERS GROUP | AMY L SMITH DBA AMY L SMITH FINANCIAL SERVICES | AMERIFLEX GROUP | AMBERWAY | ALPINE WILDFIRE | ALPHATRUST ADVISORS | ALPHA RETIREMENT SOLUTIONS | ALPHA FINANCIAL SERVICES | ALLISON INVESTMENT PLANNING LLC | ALLIED FINANCIAL ADVISORS LLC | ALLEGRO WEALTH ADVISORS LLC OR AKA ALLEGRO WEALTH | ALLEGRA FINANCIAL | ALL OF LIFE FINANCIAL LLC | ALIGNED WEALTH MANAGEMENT | ALIGNED WEALTH GROUP | ALEXANDER FINANCIAL STRATEGIES | ALEXANDER FINANCIAL | ALEXANDER CAPITAL MANAGEMENT | ALDRICH PRIVATE WEALTH | ALCHEMY FINANCIAL GROUP | AHRENS AND ASSOCIATES | AGL FINANCIAL LLC | AGI FINANCIAL SERVICES INC | AGAPE FINANCIAL SERVICES | AFFIRM FINANCIAL PARTNERS LLC | AEGIS INSURANCE AGENCY | AEGEUS FINANCIAL SOLUTIONS INC | ADVOCACY ADVISORS | ADVISORYSOUTH LLC | ADVISORY SOUTH ATLANTA NW | ADVISORY SOUTH | ADVISORS ON CALL LLC | ADVANCED PLANNING GROUP OF NY | ADUDDELL CONSULTING LLC DBA CHARTERED FINANCIAL SERVICES | ADAPTIVE ECONOMIC STRATEGIES LLC | ADAPTATION FINANCIAL | ADAMS FINANCIAL GROUP | ADAMS & ASSOCIATES INC | ADAM UDY GROUP | ACUTE WEALTHCARE LLC | ACCESSION FINANCIAL GROUP | AC FINANCIAL ADVISORY GROUP | ABU | ADAM UDY GROUP | ABU GROUP | ABRAM WEALTH ADVISORS | ABLA CAPITAL | A NEW PATH FINANCIAL | 813 FINANCIAL LLC | 4RIVERS WEALTH MANAGEMENT LLC | 4M FINANCIAL | 3D FINANCIAL SERVICES | 27T FINANCIAL...
Contact Information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757Phone Number
(641) 472-5100# of Employees
3,527SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
608,275AUM (Assets Under Management)
$138,694,510,180Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/16/2025 | Cover Page | Report |
| 11/26/2025 | Cover Page | Report |
| 12/09/2024 | Cover Page | Report |
| 04/29/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
1938 WEALTH ADVISORS | BEYOND WEALTH LLC | BEYOND FINANCIAL PLANNING | BETTENDORF FINANCIAL GROUP | BETA INDUSTRIES INC | BESSELMAN AND ASSOCIATES DBA BESSELMAN WEALTH PLANNERS | BERGERON FINANCIAL | BENZOR CAPITAL WEALTH | BENOIT FINANCIAL PLANNERS | BENOIT FINANCIAL GROUP LLC DBA BENOIT FINANCIAL PLANNERS | BENKENDORFER INVESTMENT GROUP | BENCHMARK WEALTH ADVISORY LLC | BENCHMARK WEALTH ADVISORY | BELL FINANCIAL INC | BEDFORD WEALTH ADVISORS | BECKWITH FINANCIAL SERVICES | BECKER FINANCIAL SERVICES INC | BEALE FINANCIAL GROUP | BEACON COVE FINANCIAL | BEACON CAPITAL MANAGEMENT ADVISORS | BCF GROUP LLC | BCB INVESTMENT SERVICES | BAWAR ASSET MANAGEMENT LLC | BAUER FINANCIAL SERVICES LLC DBA HAYES FINANCIAL ADVISORS | BATESON WEALTH MANAGEMENT | BASS FINANCIAL STRATEGIES INC | BASK FINANCIAL ADVISORS | BARTON FINANCIAL SERVICES INC | BARTLETT WEALTH MANAGEMENT | BARKER LEGACY FINANCIAL LLC | BARKER INVESTMENT SERVICES | BARCOMB WEALTH MANAGEMENT | BARBARA MULL INVESTMENT SOLUTIONS | BAR -G FINANCIAL SERVICES | BANKHEAD WEALTH PARTNERS | BANK IOWA INVESTMENT CENTER | BAKER WEALTH MANAGEMENT INC | BAKER WEALTH MANAGEMENT | BAKER FINANCIAL GROUP | BAHR CASEY FINANCIAL SERVICES | BABCOCK INSURANCE & FINANCIAL SERVICES | B RENNER LLC | AXIOM WEALTH PARTNERS, LLC | AXIOM WEALTH PARTNERS LLC | AXIOM WEALTH PARTNERS | AXIOM WEALTH ALLIANCE LLC | AXIOM WEALTH ALLIANCE | AXIOM NH LLC | AVANA WEALTH MANAGEMENT | ATTITUDE FINANCIAL ADVISORS | ATTAIN WEALTH PLANNING | ATTAIN WEALTH | ATLAS WEALTH MANAGEMENT LLC | ATLAS WEALTH ADVISERS | ATLAS ADVISORY GROUP | ATLANTIC CAPITAL PARTNERS LLC | ATLANTIC CAPITAL PARTNERS | ATHOS CAPITAL ADVISORS | ATHLON WEALTH ADVISORS | ATHLON ADVISORS LLC | ATHLON ADVISORS | ATHENA LEGACY SOLUTIONS LLC | ASSURED PARTNERS | ASSOCIATED PLANNING SERVICES INC | ASSOCIATED FINANCIAL PLANNERS LLC | ASPIRE INVESTMENT MANAGEMENT | ASPEN CREEK INVESTMENTS LLC | ASCENT WEALTH STRATEGIES GROUP LLC | ASCENT ASSET GROUP | ASCEND WEALTH PLANNING LLC | ASCEND WEALTH PLANNING | ASCEND WEALTH MANAGEMENT LLC | ASCEND WEALTH CONSULTING | ARTISAN CAPITAL MANAGEMENT LLC | ARROWSTAR FINANCIAL INC. | ARROWSTAR FINANCIAL INC | ARROWSTAR FINANCIAL | ARROWHEAD FINANCIAL SERVICES | ARROWHEAD FIN SERVICES | ARNER INVESTMENT MANAGEMENT LLC | ARMSTRONG WEALTH MANAGEMENT | AR WEALTH MANAGEMENT | APEX FINANCIAL GROUP LLC | APEX FINANCIAL GROUP | ANTONETTE MARKETING INC DBA WH BLACK & COMPANY | ANTONETTE MARKETING INC DBA PENSIONSPECIALIST.NET | ANTHONY BARRESE ASSET MANAGEMENT | ANNA VOLLENWEIDER DBA SIMPLICITY FINANCIAL PLANNING LLC | ANGLE-LAU WEALTH MANAGEMENT | ANDERSON FINANCIAL SOLUTIONS & INSURANCE SERVICES | ANCHOR WEALTH MANAGEMENT LLC | ANCHOR WEALTH MANAGEMENT | ANCHOR POINT WEALTH ADVISORS LLC | ANCHOR CERTIFIED PLANNERS GROUP INC | ANCHOR CERTIFIED PLANNERS GROUP | AMY L SMITH DBA AMY L SMITH FINANCIAL SERVICES | AMERIFLEX GROUP | AMBERWAY | ALPINE WILDFIRE | ALPHATRUST ADVISORS | ALPHA RETIREMENT SOLUTIONS | ALPHA FINANCIAL SERVICES | ALLISON INVESTMENT PLANNING LLC | ALLIED FINANCIAL ADVISORS LLC | ALLEGRO WEALTH ADVISORS LLC OR AKA ALLEGRO WEALTH | ALLEGRA FINANCIAL | ALL OF LIFE FINANCIAL LLC | ALIGNED WEALTH MANAGEMENT | ALIGNED WEALTH GROUP | ALEXANDER FINANCIAL STRATEGIES | ALEXANDER FINANCIAL | ALEXANDER CAPITAL MANAGEMENT | ALDRICH PRIVATE WEALTH | ALCHEMY FINANCIAL GROUP | AHRENS AND ASSOCIATES | AGL FINANCIAL LLC | AGI FINANCIAL SERVICES INC | AGAPE FINANCIAL SERVICES | AFFIRM FINANCIAL PARTNERS LLC | AEGIS INSURANCE AGENCY | AEGEUS FINANCIAL SOLUTIONS INC | ADVOCACY ADVISORS | ADVISORYSOUTH LLC | ADVISORY SOUTH ATLANTA NW | ADVISORY SOUTH | ADVISORS ON CALL LLC | ADVANCED PLANNING GROUP OF NY | ADUDDELL CONSULTING LLC DBA CHARTERED FINANCIAL SERVICES | ADAPTIVE ECONOMIC STRATEGIES LLC | ADAPTATION FINANCIAL | ADAMS FINANCIAL GROUP | ADAMS & ASSOCIATES INC | ADAM UDY GROUP | ACUTE WEALTHCARE LLC | ACCESSION FINANCIAL GROUP | AC FINANCIAL ADVISORY GROUP | ABU | ADAM UDY GROUP | ABU GROUP | ABRAM WEALTH ADVISORS | ABLA CAPITAL | A NEW PATH FINANCIAL | 813 FINANCIAL LLC | 4RIVERS WEALTH MANAGEMENT LLC | 4M FINANCIAL | 3D FINANCIAL SERVICES | 27T FINANCIAL...
State Registrations and Notice Filings
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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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Eugene Harman III's CRS (Customer Relationship Summary).
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