CH
Carli J. Harvey
CETERA INVESTMENT ADVISERS LLC
MEDFORD, OR 97504
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CRD#: 5815889
CH
Professional summary
Carli Jean Harvey, who also goes by Carli Harvey, Carli Jean Sash, Carli Sash, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Medford, Oregon and CETERA WEALTH SERVICES, LLC located in Boise, Idaho.
Carli is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Carli has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carli Harvey | Carli Jean Sash | Carli Sash
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) KDP WEALTH MANAGEMENT, LLC POSITION: Wealth Management Specialist NATURE: This is the wealth management company associated with the CPA firm I work for. We partner with 1st Global. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 06/03/2019 ADDRESS: 841 O'Hare Parkway Ste. 200, Medford OR 97504, United States DESCRIPTION: Wealth Management Specialist my job is to support the financial adviser to the best of my abilities and to learn the industry and train under the financial adviser. 2) KDP WEALTH MANAGEMENT/ CARLI HARVEY - INDEX ANNUITIES POSITION: Agent NATURE: Indexed Annuity business for clients INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 8 START DATE: 01/03/2022 ADDRESS: 841 O'Hare Parkway Ste. 200, Medford OR 97504, United States DESCRIPTION: Provide index annuity solutions when in the clients highest and best good. 3) ROGUE VALLEY FARM TO SCHOOL POSITION: Board Member NATURE: Volunteering at local eventsAttending board meetingshelping to grow awareness of the organizations mission and values INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2023 ADDRESS: PO Box 898, Ashland OR 97520, United States DESCRIPTION: Attend monthly board meetings help with fundraisers and other volunteer events 4) SOUTHERN OREGON ESTATE PLANNING COUNCIL POSITION: Board Member NATURE: Provide a educational speakers and networking events centered around estate planning for the southern Oregon area and professionals in industry specifically Estate attorneys, Wealth Advisors, CPAs, and charitable giving advisors. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2024 ADDRESS: PO Box 223, Medford OR 97501, United States DESCRIPTION: Help organize events, grow membership, and help attain a speaker line up for events.
CRS (Client Relationship Summary) - RIA
Click below to view Carli Jean Harvey'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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 841 O'hare Parkway Ste. 200, Medford, OR 97504Office #2: 101 S 27th Street, Boise, ID 83702RIA
CRD#: 105644
MEDFORD, OR
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 101 S 27th Street, Boise, ID 83702Office #2: 841 O' Hare Parkway Ste. 200, Medford, OR 97504BD
CRD#: 13572
Boise, ID
Past
July 21, 2020 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MEDFORD, OR
Past
January 18, 2020 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
MEDFORD, OR
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Idaho(9/5/2025)
IAR
Idaho(9/5/2025)
RR
Illinois(9/18/2025)
RR
Indiana(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Michigan(9/5/2025)
RR
Missouri(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Mexico(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oregon(9/5/2025)
IAR
Oregon(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/18/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
