Harmeet S. Hayer

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CRD#: 6238908

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Harmeet Singh Hayer, CFP® was a registered financial professional .

Harmeet is a previously registered financial professional and started their career in finance in 2013. Harmeet had worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 6 exams.

Biography

As your Financial Consultant,  I will partner with you to build a financial plan that takes into account your vision, values and goals.  Together, we will identify strategies to improve that plan, and keep open lines of communication.  I will proactively work to maintain a deep level of trust, reliability and competency.  

Question & Answer

What are your service offerings?

Business Succession Planning

Insurance Planning

Education Planning

Life Transitions

Comprehensive Financial Planni...

Socially Responsible Investing

Elder Care

Estate Planning

Debt Management

Long-term Care

Social Security Planning

Retirement Income Management

Small Business Planning

Investment Planning

Employee and Employer Plan Ben...

Retirement Planning

Tax Planning

What is your minimum asset requirement?

500K

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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^®

Certified Financial Planner

Start date: 2016

Education

Kaplan University

Bachelor of Business Administration - Finance

2015

University California, Davis

Financial Planning Certificate - Finance

2015

Experience

Past

November 14, 2024 - February 10, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

ROSEVILLE, CA

Past

November 14, 2024 - February 10, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

ROSEVILLE, CA

Past

October 8, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

ROSEVILLE, CA

Past

August 9, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

ROSEVILLE, CA

Past

May 12, 2020 - February 13, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SUNNYVALE, CA

Past

March 16, 2020 - February 13, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SUNNYVALE, CA

Past

November 15, 2016 - February 11, 2020

FISHER INVESTMENTS

RIA

CRD#: 107342

SAN MATEO, CA

Past

July 8, 2016 - November 10, 2016

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

Lodi, CA

Past

July 7, 2016 - November 10, 2016

BBVA SECURITIES INC.

CRD#: 27060

LODI, CA

Past

August 13, 2015 - May 6, 2016

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

ROSEVILLE, CA

Past

September 23, 2013 - May 6, 2016

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

ROSEVILLE, CA

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 5/4/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/13/2015

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/16/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/10/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/23/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Harmeet S. Hayer

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Education

Kaplan University

University California, Davis

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

FISHER INVESTMENTS

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/4/2020

Series 65

Date: 8/13/2015

Series 7TO

Date: 3/16/2020

SIE

Date: 11/10/2016

Series 6

Date: 9/23/2013

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

Contact information

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