Haren Bhakta

IO ADVISORS

Santa Ana, CA

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CRD#: 5619663

Professional summary

Haren Bhakta, who also goes by Haren S Bhakta, Haren Suresh Bhakta, is a registered financial advisor currently at IO ADVISORS, LLC located in Santa Ana, California.

Haren is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Haren has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Haren S Bhakta | Haren Suresh Bhakta

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.

1. Tix Corp; Not investment related; 1513 N. Harbor Blvd., Santa Ana, CA 92703; Holding Company; Position & Title: Owner & CEO; Start date: 02/2022; Hours/mo: 5; Hours during trading hours: 0; Duties: Sales 2. HSB Hospitality Inc.; Not investment related; 1513 N. Harbor Blvd., Santa Ana, CA 92703; Motel; Position & Title: CEO; Start date: 10/2022; Hours/mo: 12; Hours during trading hours: 0; Duties: Management 3. Inside Ownership Index Inc; Investment Related; 1513 N. Harbor Blvd., Santa Ana, CA 92703; Stock Market Index; Position & Title: CEO; Start date: 09/2024; Hours/mo: 40; Hours during trading hours: 40; Duties: Management & Sales

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Haren Bhakta's 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

March 14, 2025 - Present

IO ADVISORS, LLC

RIA

CRD#: 290889

Santa Ana, CA

Past

February 23, 2018 - September 26, 2024

IO ADVISORS, LLC

RIA

CRD#: 290889

SANTA ANA, CA

Past

April 17, 2012 - October 26, 2017

MORGAN STANLEY

RIA

CRD#: 149777

SANTA ANA, CA

Past

April 16, 2012 - October 26, 2017

MORGAN STANLEY

CRD#: 149777

SANTA ANA, CA

Past

September 1, 2010 - April 16, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SANTA ANA, CA

Past

August 31, 2010 - April 16, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SANTA ANA, CA

Past

November 26, 2008 - August 16, 2010

PRUCO SECURITIES, LLC.

CRD#: 5685

EL SEGUNDO, CA

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

California
(3/14/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/21/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/9/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/26/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/12/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/25/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

IO ADVISORS, LLC

HSB CAPITAL ADVISORS, LLC | IO ADVISORS, LLC

CRD#: 290889 / SEC#:

California

Registered Investment Advisory firm - (2/23/2018 Approved)

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Contact information

Main Address

Santa Ana, CA

Mailing Address

Phone number

(714) 658-7846

Established

Firm type

Fiscal year end

# of Employees

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.

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Firm Stability Insights

Haren Bhakta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Haren Bhakta's CRS (Customer Relationship Summary).

Certified licenses

Experience

IO ADVISORS, LLC

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/21/2009

Series 63

Date: 12/9/2008

SIE

Date: 10/26/2017

Series 7

Date: 4/12/2010

Series 6

Date: 11/25/2008

Current Firm

IO ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

IO ADVISORS, LLC

TRUST BUT VERIFY

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