Douglas K. Harman

HARMAN INVESTMENT ADVISORS

Northbrook, IL 60062

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CRD#: 716230

Professional summary

Douglas Kent Harman, who also goes by Doug Harman, is a registered financial advisor currently at HARMAN INVESTMENT ADVISORS located in Northbrook, Illinois.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Douglas has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Harman

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) - RIA

Click below to view Douglas Kent Harman'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®

None

Experience

Current

October 25, 1997 - Present

HARMAN INVESTMENT ADVISORS

Office #1: 555 Skokie Boulevard Suite 500, Northbrook, IL 60062

RIA

CRD#: 122641

Northbrook, IL

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

Alaska
(10/2/2002)

IAR

Illinois
(10/25/1997)

IAR

Ohio
(6/12/2012)

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: 10/16/1990

Uniform Investment Adviser Law Examination

Current Firm

HARMAN INVESTMENT ADVISORS

HARMAN INVESTMENT ADVISORS | HARMAN INVESTMENT ADVISORS INCORPORATED

CRD#: 122641 / SEC#: 801-65036

RIA

Registered Investment Advisory firm - (6/28/2012 Terminated)

Alaska

Registered Investment Advisory firm - (4/5/2012 Approved)

Idaho

Registered Investment Advisory firm - (12/31/2012 Terminated)

Illinois

Registered Investment Advisory firm - (3/15/2012 Approved)

Indiana

Registered Investment Advisory firm - (12/12/2012 Terminated)

Nevada

Registered Investment Advisory firm - (12/31/2018 Terminated)

Ohio

Registered Investment Advisory firm - (6/12/2012 Approved)

Oregon

Registered Investment Advisory firm - (12/4/2018 Terminated)

South Dakota

Registered Investment Advisory firm - (12/3/2013 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2013 Terminated)

Washington

Registered Investment Advisory firm - (12/31/2013 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).

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Contact information

Main Address

555 Skokie Boulevard Suite 500, Northbrook, IL 60062

Mailing Address

Po Box 20, Winnetka, IL 60093-0020

Phone number

(312) 364-9490

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 3,272,891

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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Douglas K. Harman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Kent Harman's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARMAN INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/1990

Current Firm

HARMAN INVESTMENT ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HARMAN INVESTMENT ADVISORS

TRUST BUT VERIFY

Contact information

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