Emily A. Secord
CETERA INVESTMENT ADVISERS LLC
EUGENE, OR 97401
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CRD#: 5919546
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Emily Ann Harvey
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;
CRS (Client Relationship Summary) - RIA
Click below to view Emily Ann Secord'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®
CFP®
Start date: 2018
Experience
Current
September 24, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 169 W 6th Ave Suite 102, Eugene, OR 97401RIA
CRD#: 105644
EUGENE, OR
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 169 West 6th Avenue Suite 102, Eugene, OR 97401BD
CRD#: 10299
Eugene, OR
Past
November 18, 2019 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
Eugene, OR
Past
November 15, 2019 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
EUGENE, OR
Past
December 13, 2013 - December 12, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Eugene, OR
Past
September 12, 2011 - December 16, 2013
EDWARD JONES
RIA
CRD#: 250
EUGENE, OR
Past
June 29, 2011 - December 16, 2013
EDWARD JONES
BD
CRD#: 250
EUGENE, 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
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
Montana(3/28/2024)
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)
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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Eugene, OR 97401TRUST BUT VERIFY
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