Charles A. Harriman

CLOUD INVESTMENTS

Huntsville, AL 35801

Some features on this profile are disabled

CRD#: 6293392

Professional summary

Charles Andrew Harriman, who also goes by Charlie Harriman, is a registered financial advisor currently at CLOUD INVESTMENTS, LLC located in Huntsville, Alabama.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Charles has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charlie Harriman

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.

AMERICAN LEAGUE; HUNTSVILLE, AL 35802. NON-INVESTMENT RELATED. ASSISTANT BASEBALL DIRECTOR. 03/2019 START DATE. FIVE HOURS A MONTH IS SPENT ON THIS ACTIVITY, ZERO HOURS DURING SECURITIES TRADING HOURS. CLOUD FINANCIAL, INC., INVESTMENT RELATED, HUNTSVILLE, AL 35801. INSURANCE AGENT. 01/2014 START DATE. 160 APPROX. HOURS DEVOTED TO BUSINESS, 80 HOURS APPROX. DEVOTED DURING SECURITIES EXCHANGE. MEETS WITH CLIENTS, HEAD THE MARKETING DIVISION TO ATTRACT NEW CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Andrew Harriman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 29, 2016 - Present

CLOUD INVESTMENTS, LLC

Office #1: 200 Clinton Ave Suite 1020, Huntsville, AL 35801

RIA

CRD#: 281915

Huntsville, AL

Past

March 24, 2015 - January 14, 2016

VANN EQUITY MANAGEMENT LLC

RIA

CRD#: 174239

HUNTSVILLE, AL

Past

January 24, 2014 - March 23, 2015

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

HUNTSVILLE, AL

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".

CLOUD INVESTMENTS, LLC

CRD#: 281915 / SEC#: 801-112434

RIA

Registered Investment Advisory firm - (2/12/2018 Approved)

Alabama

Registered Investment Advisory firm - (2/13/2018 Terminated)

Texas

Registered Investment Advisory firm - (2/13/2018 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(1/29/2016)

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

IAR

Series 65

Date: 1/11/2014

Uniform Investment Adviser Law Examination

Current Firm

CLOUD INVESTMENTS, LLC

CRD#: 281915 / SEC#: 801-112434

RIA

Registered Investment Advisory firm - (2/12/2018 Approved)

Alabama

Registered Investment Advisory firm - (2/13/2018 Terminated)

Texas

Registered Investment Advisory firm - (2/13/2018 Terminated)

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

200 Clinton Ave Suite 1020, Huntsville, AL 35801

Mailing Address

Phone number

(256) 715-0094

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A&B (10/16/2025)

Regulatory assets under management

Total Number of Accounts	1,562
AUM (Assets Under Management)	$ 343,763,348

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.

Similar Advisors

Christopher Hall

LPL FINANCIAL LLC

IAR

San Antonio, TX

Matthew Borowitz

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MILWAUKEE, WI

Jerome Bosch

RBC CAPITAL MARKETS, LLC

IAR

Seattle, WA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles A. Harriman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Andrew Harriman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLOUD INVESTMENTS, LLC

VANN EQUITY MANAGEMENT LLC

HORTER INVESTMENT MANAGEMENT, LLC

Primary Firm SEC Registration

CLOUD INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/11/2014

Current Firm

CLOUD INVESTMENTS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLOUD INVESTMENTS, LLC

TRUST BUT VERIFY

Similar Advisors