AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
Emily Ann Secord

Emily Ann Secord

CFP®
CETERA INVESTMENT ADVISERS
EUGENE, OR
·CRD# 5919546·15 years experience

Professional Summary

Emily Ann Secord, CFP®, who also goes by Emily Ann Harvey, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Eugene, Oregon and CETERA ADVISORS LLC located in Eugene, Oregon. Emily is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Emily has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Emily Ann Harvey

Blog Corner

Similar Advisors

NEW YORK, NY · CRD#
View profile
ML
Matthew John Latarewicz

HERON BAY CAPITAL MANAGEMENT

BLOOMFIELD HILLS, MI · CRD#
Kenneth Ray Tucker JR
Kenneth Ray Tucker JR

LPL FINANCIAL LLC

SAINT AUGUSTINE, FL · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

JF
John Friedman

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#
ML
Matthew John Latarewicz

HERON BAY CAPITAL MANAGEMENT

BLOOMFIELD HILLS, MI · CRD#
Mahmood Baifonti Kanu
Mahmood Baifonti Kanu

WELLS FARGO CLEARING SERVICES, LLC

WASHINGTON, DC · CRD#
Kenneth Ray Tucker JR
Kenneth Ray Tucker JR

LPL FINANCIAL LLC

SAINT AUGUSTINE, FL · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

JF
John Friedman

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#
ML
Matthew John Latarewicz

HERON BAY CAPITAL MANAGEMENT

BLOOMFIELD HILLS, MI · CRD#
Mahmood Baifonti Kanu
Mahmood Baifonti Kanu

WELLS FARGO CLEARING SERVICES, LLC

WASHINGTON, DC · CRD#
Kenneth Ray Tucker JR
Kenneth Ray Tucker JR

LPL FINANCIAL LLC

SAINT AUGUSTINE, FL · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

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.

Similar Advisors

JF
John Friedman

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#
ML
Matthew John Latarewicz

HERON BAY CAPITAL MANAGEMENT

BLOOMFIELD HILLS, MI · CRD#
Mahmood Baifonti Kanu
Mahmood Baifonti Kanu

WELLS FARGO CLEARING SERVICES, LLC

WASHINGTON, DC · CRD#
Kenneth Ray Tucker JR
Kenneth Ray Tucker JR

LPL FINANCIAL LLC

SAINT AUGUSTINE, FL · CRD#

Credentials

CFP®
Certified Financial PlannerSince 2018

Years of Experience

15 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
169 W 6th Ave Suite 102, Eugene, OR 97401
September 24, 2020 - Present
CETERA ADVISORS LLC·CRD# 10299
BD
169 West 6th Avenue Suite 102, Eugene, OR 97401
September 8, 2022 - Present
FIRST ALLIED ADVISORY SERVICES, INC.·CRD# 137888
RIA
Eugene, OR
November 18, 2019 - November 12, 2020
FIRST ALLIED SECURITIES, INC.·CRD# 32444
BD
Eugene, OR
November 15, 2019 - September 8, 2022
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Eugene, OR
December 13, 2013 - December 12, 2019
EDWARD JONES·CRD# 250
RIA
Eugene, OR
September 12, 2011 - December 16, 2013
EDWARD JONES·CRD# 250
BD
Eugene, OR
June 29, 2011 - December 16, 2013

Similar Advisors

JF
John Friedman

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#
ML
Matthew John Latarewicz

HERON BAY CAPITAL MANAGEMENT

BLOOMFIELD HILLS, MI · CRD#
Mahmood Baifonti Kanu
Mahmood Baifonti Kanu

WELLS FARGO CLEARING SERVICES, LLC

WASHINGTON, DC · CRD#
Kenneth Ray Tucker JR
Kenneth Ray Tucker JR

LPL FINANCIAL LLC

SAINT AUGUSTINE, FL · CRD#

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 - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

Similar Advisors

JF
John Friedman

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#
ML
Matthew John Latarewicz

HERON BAY CAPITAL MANAGEMENT

BLOOMFIELD HILLS, MI · CRD#
Mahmood Baifonti Kanu
Mahmood Baifonti Kanu

WELLS FARGO CLEARING SERVICES, LLC

WASHINGTON, DC · CRD#
Kenneth Ray Tucker JR
Kenneth Ray Tucker JR

LPL FINANCIAL LLC

SAINT AUGUSTINE, FL · CRD#

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) EAS LLC; SOLE MEMBER; HOLDING COMPANY OR TAX/BILL PAYMENT ENTITY; START DATE: 12/03/2019; 4 HOURS PER MONTH. 2) NAME OF OTHER BUSINESS: BRIGHT FUTURE WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 03/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3) NAME OF OTHER BUSINESS: BRIGHT FUTURE WEALTH COLLECTIVE, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANGEMENT, START DATE: 05/2024, POSITION/TITLE/RELATIONSHIP: PART OWNER, LESS THAN 1 HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PAY OFFICE EXPENSES AND PAYROLL; 4) NAME OF OTHER BUSINESS: RED ROCK INNOVATIONS, LLC DBA GAME DAY MENS HEALTH; INVESTMENT RELATED: NO; ADDRESS: 14239 W BELL RD, STE 117, SURPRISE, AZ 85374; NATURE OF BUSINESS: MEN'S FITNESS; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: FRANCHISE ADMINISTRATOR/MINORITY OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ENSURE PAYROLL IS SUBMITTED ON TIME, BILLS ARE PAID FOR THE CLINIC WITH MINIMAL INTERACTION WITH THE CARE PROVIDERS;

Similar Advisors

JF
John Friedman

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#
ML
Matthew John Latarewicz

HERON BAY CAPITAL MANAGEMENT

BLOOMFIELD HILLS, MI · CRD#
Mahmood Baifonti Kanu
Mahmood Baifonti Kanu

WELLS FARGO CLEARING SERVICES, LLC

WASHINGTON, DC · CRD#
Kenneth Ray Tucker JR
Kenneth Ray Tucker JR

LPL FINANCIAL LLC

SAINT AUGUSTINE, FL · CRD#

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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Arizona
(4/14/2026)
RR
California
(9/8/2022)
RR
Colorado
(1/30/2023)
RR
Connecticut
(6/2/2025)
RR
Hawaii
(3/28/2024)
RR
Idaho
(1/3/2023)
RR
Michigan
(9/8/2022)
RR
Missouri
(7/3/2024)
RR
Nevada
(9/8/2022)
RR
New Jersey
(3/28/2024)
RR
New Mexico
(9/8/2022)
RR
New York
(5/12/2023)
RR
Oklahoma
(9/8/2022)
IAR
Oregon
(9/24/2020)
RR
Oregon
(9/8/2022)
RR
Pennsylvania
(5/23/2024)
RR
South Dakota
(8/8/2024)
RR
Texas
(10/10/2022)
IAR
Texas
(11/1/2022)
RR
Vermont
(4/8/2025)
RR
Virginia
(5/16/2024)
RR
Washington
(9/8/2022)

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.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2011About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2011About the Series 7 exam
FINRA
SRO Registrations

Similar Advisors

JF
John Friedman

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#
ML
Matthew John Latarewicz

HERON BAY CAPITAL MANAGEMENT

BLOOMFIELD HILLS, MI · CRD#
Mahmood Baifonti Kanu
Mahmood Baifonti Kanu

WELLS FARGO CLEARING SERVICES, LLC

WASHINGTON, DC · CRD#
Kenneth Ray Tucker JR
Kenneth Ray Tucker JR

LPL FINANCIAL LLC

SAINT AUGUSTINE, FL · CRD#

CRS (Client Relationship Summary) - RIA

Click below to view Emily Ann Secord's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Similar Advisors

JF
John Friedman

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#
ML
Matthew John Latarewicz

HERON BAY CAPITAL MANAGEMENT

BLOOMFIELD HILLS, MI · CRD#
Mahmood Baifonti Kanu
Mahmood Baifonti Kanu

WELLS FARGO CLEARING SERVICES, LLC

WASHINGTON, DC · CRD#
Kenneth Ray Tucker JR
Kenneth Ray Tucker JR

LPL FINANCIAL LLC

SAINT AUGUSTINE, FL · CRD#
Emily Ann Secord
Follow Emily
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required