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Ryan Charles Harkey

CETERA INVESTMENT ADVISERS
BEAUMONT, TX
·CRD# 7007571·8 years experience

Professional Summary

Ryan Charles Harkey is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Beaumont, Texas and CETERA WEALTH SERVICES, LLC located in Beaumont, Texas. Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Ryan 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

There are no additional aliases reported.

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Contact Information

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

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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.

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Years of Experience

8 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
1150 North 11th Street, Beaumont, TX 77702
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
1150 North 11th Street, Beaumont, TX 77702
September 5, 2025 - Present
AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Beaumont, TX
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Beaumont, TX
October 25, 2019 - September 5, 2025
1ST GLOBAL ADVISORS INC·CRD# 111133
RIA
Beaumont, TX
January 4, 2019 - October 25, 2019
1ST GLOBAL CAPITAL CORP.·CRD# 30349
BD
Beaumont, TX
October 26, 2018 - October 25, 2019

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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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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)HARKEY LAND & TIMBER, LLC; President; Family owned LLC that owns land and timber investments; Investment related; 2 hrs; 0 hrs during trading; Started 06/01/2007; 1130 Gentry Dr., Silsbee TX 77656, US; Manage timber property. 2) BUTLER & HARKEY LAND & TIMBER, LLC; President; Timber and land investments; Investment related; 2 hrs; 0 hrs during trading; Started 06/01/2008; 1130 Gentry Dr., Silsbee TX 77656, US; Manage timber property. 3) SOUTHEAST TEXAS CHAPTER OF CERTIFIED PUBLIC ACCOUNTANTS; Board member and Vice President; Promote the CPA profession to the public; Investment related; 2 hrs; 2hrs during trading; Started 07/01/15; 14651 Dallas Pkwy, Suite 700, Dallas TX 75254, US; Volunteer in community service projects and assist in scheduling speakers for meetings. 4) ALL FAITH'S DAY SCHOOL POSITION: Board Member NATURE: Non profit pre school in Silsbee, TX ~IR~ # OF HRS: 1 SEC TRADING HRS: 1 START DATE: 01/01/07 ADDR: 670 N 5th St., Silsbee TX 77656 DESCR: Member of the board. We meet quarterly to discuss and vote on school issues. 5) FMW WEALTH MANAGMENT, LLC PSTN: Member NATURE: The activity will be financial services.~IR~# OF HRS: 30 SEC TRADING HRS: 30 ST DT: 09/16/19 ADDR: 1150 North 11th Street, Beaumont TX 77702, DESCR: Active member offering financial service products and solutions through Avantax. 6) FMW, P.C. POSITION: Managing shareholder NATURE: FMW, P.C. is a CPA firm that provides accounting & tax services.~NIR~ # OF HRS: 160 SEC TRADING HRS: 100 ST DT: 11/18/20 ADDR: 1150 N. 11th St, Beaumont TX 77702,DESCR: I managed the overall operations of the CPA firm, including: Human resources, financial decision for firm, mentor staff, perform financial audits and handle tax compliance and planning for clients. 7) FUNCHESS, MILLS, WHITE & CO., P.C. POSITION: Managing shareholder NATURE: CPA firm that provides accounting and tax services.~NIR~ # OF HRS: 160 SEC TRADING HRS: 100 ST DT: 11/18/20 ADDR: 1150 N. 11th St, Beaumont TX 77702, DESCR: Manage the overall operations of the CPA firm, including: Human resources, financial decision for firm, mentor staff, perform financial audits and handle tax compliance and planning for clients. 8) WHIDDON HARKEY OXNER GROUP PSTN: LLC member, FMW Wealth Management, LLC NATURE: Activity related to financial services.~NIR~# OF HRS: 0 SECURITIES TRADING HOURS: 0 ST DT: 09/20/23 ADDR: 1150 N. 11th St, Beaumont TX 77702 DESCR: None 9) BOY SCOUTS OF AMERICA - THREE RIVERS COUNCIL POSITION: Board Member - President NATURE: Provides a professional field staff, a service center and trained volunteer leaders and a year round camping facility for Boys Scouts located in southeast Texas.~NIR~ # OF HRS: 5 SEC TRADING HRS: 0 ST DT: 01/01/17 ADDR: 4650 W. Cardinal Dr., Beaumont TX 77705 DESCR: President of the Three Rivers Council. The Director runs the day-to-day operations of the council. I'm involved in the overall direction of the Council and major issues. 10) AVANTAX FIXED INDEX ANNUITY POSITION: Agent NATURE: Fixed indexed annuities.~NIR~ # OF HRS: 1 SEC TRADING HRS: 1 ST DT: 11/02/23 ADDR: 1150 N. 11th St, Beaumont TX 77702, United States DESCR: Agent for fixed annuities 11) FIXED INSURANCE SALES POSITION: Independent Agent NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 1150 N. 11th St, Beaumont TX 77702, United States DESCRIPTION: Independent agent of record. Independent contractor compensated for the personal production of fixed insurance products. 12) Beacon Wealth Management; Referring advisor; Financial advisory services; IR; 8; 08/23/2018; 1150 N. 11th St. Beaumont TX 77702; Terry Whiddon is associated with Beacon Wealth Management. I'll be referring clients to Terry Whiddon.

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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
(9/5/2025)
RR
Florida
(9/5/2025)
RR
Massachusetts
(9/5/2025)
RR
New York
(9/5/2025)
RR
South Carolina
(9/5/2025)
RR
Texas
(9/5/2025)
IAR
Texas
(9/5/2025)

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 Jan 2019About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2018About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Ryan Charles Harkey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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