TH
Travis M. Harp
CETERA INVESTMENT ADVISERS LLC
GREAT FALLS, MT 59401
Some features on this profile are disabled
CRD#: 5879113
TH
Professional summary
Travis Michael Harp, who also goes by Travis Harp, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Great Falls, Montana and CETERA WEALTH SERVICES, LLC located in Great Falls, Montana.
Travis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Travis has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Travis Harp
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. NAME OF ENTITY:HARP FINANCIAL GROUP; Yes; 300 CENTRAL AVE STE 510; GREAT FALLS; MT; 59401; FINANCIAL SERVICES/DBA; INDEPENDENT INSURANCE AGENT; 12/18/2013; 160; 160; SALE OF INSURANCE & SECURITIES PRODUCTS 2. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 300 CENTRAL AVE STE 510; GREAT FALLS; MT; 59401; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/28/2013; 40; 30; SALES OF FIXED INSURANCE PRODUCTS|
CRS (Client Relationship Summary) - RIA
Click below to view Travis Michael Harp'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 300 Central Ave Ste 510, Great Falls, MT 59401RIA
CRD#: 105644
GREAT FALLS, MT
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 300 Central Ave Ste 510, Great Falls, MT 59401BD
CRD#: 13572
Great Falls, MT
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
December 24, 2013 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
GREAT FALLS, MT
Past
December 18, 2013 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
GREAT FALLS, MT
Past
September 28, 2011 - December 23, 2013
WADDELL & REED
RIA
CRD#: 866
GREAT FALLS, MT
Past
August 10, 2011 - December 20, 2013
WADDELL & REED
BD
CRD#: 866
GREAT FALLS, MT
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
Alaska(10/13/2021)
RR
Arizona(6/9/2021)
RR
Arkansas(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Florida(12/15/2021)
RR
Georgia(6/9/2021)
RR
Idaho(6/9/2021)
RR
Minnesota(10/21/2021)
RR
Mississippi(10/11/2023)
RR
Montana(6/9/2021)
IAR
Montana(6/29/2023)
RR
Nevada(1/14/2023)
RR
North Carolina(6/9/2021)
RR
North Dakota(6/9/2021)
RR
Ohio(1/29/2025)
RR
Oregon(6/9/2021)
RR
Pennsylvania(4/29/2022)
RR
Tennessee(8/14/2025)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(6/9/2021)
RR
Virginia(6/9/2021)
RR
Washington(6/9/2021)
RR
Wyoming(6/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Great Falls, MT 59401TRUST BUT VERIFY
Monitor Travis Harp
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
