MH
Michael Hartberg
CETERA INVESTMENT SERVICES
WEST DES MOINES, IA 50266
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CRD#: 6366803
MH
Michael HartbergCETERA INVESTMENT SERVICES
Professional summary
Michael Hartberg, who also goes by Michael David Hartberg, Michael D Hartberg, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in West Des Moines, Iowa and CETERA WEALTH SERVICES, LLC located in West Des Moines, Iowa.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2014. Michael has worked at 7 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Aliases
Michael David Hartberg | Michael D Hartberg
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Hartberg'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
September 28, 2026 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266BD
CRD#: 15340
WEST DES MOINES, IA
Current
September 28, 2026 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266BD
CRD#: 13572
WEST DES MOINES, IA
Current
September 28, 2026 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266BD
CRD#: 10358
WEST DES MOINES, IA
Current
September 28, 2026 - Present
CETERA ADVISORS LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266BD
CRD#: 10299
WEST DES MOINES, IA
Past
March 19, 2024 - September 2, 2026
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
February 8, 2016 - July 9, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
CORALVILLE, IA
Past
October 30, 2014 - December 31, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
IOWA CITY, IA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Iowa(9/29/2026)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Passed: 11/9/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 10/30/2014
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
Current Firm
CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES
CRD#: 10299 / SEC#: 801-33020, 8-26892
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MITCHELL, CHRISTIAN WINFIELD | VICE PRESIDENT | 6766944 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| MOLNAR, MICHAEL JAMES | VICE PRESIDENT | 4866129 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| NILAND, ERIK BRADLEY | VICE PRESIDENT | 2796476 |
| PATTERSON, GERALD | VICE PRESIDENT | 4302538 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WENIG, HARLAN DAVID | VICE PRESIDENT | 4690768 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA ADVISORS LLC
CRD#: 10299West Des Moines, IA 50266TRUST BUT VERIFY
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