KH
Kevin G. Hartley
CETERA INVESTMENT ADVISERS LLC
OMAHA, NE 68130
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CRD#: 7168264
KH
Professional summary
Kevin Glenn Hartley is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Omaha, Nebraska and CETERA WEALTH SERVICES, LLC located in Omaha, Nebraska.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Kevin has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. NAME OF OTHER BUSINESS: ALPHA WEALTH ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2021; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 25; APX NUMBER OF HOURS DURING TRADING HOURS: 25; BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR IN SERVICING CLIENTS AND CREATING FINANCIAL PLANS; 2. NAME OF OTHER BUSINESS: KGH ENTERPRISES LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 07/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: TAX REPORTING ENTITY, MANAGE INCOME FOR TAX PURPOSES; 3. NAME OF OTHER BUSINESS: ADVISORNET FINANCIAL INC DBA ADVISORNET WEALTH PARTNERS - CRD# 113074; INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: ACCESS PERSON; START DATE: 11/2024; APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: NON-PRODUCING / ADMINISTRATIVE ROLE;
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Glenn Hartley'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 16820 Frances St Ste 205, Omaha, NE 68130Office #2: 6040 South 58th Street, Ste E, Lincoln, NE 68516RIA
CRD#: 105644
OMAHA, NE
Current
January 31, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10831 Old Mill Road Suite 200c, Omaha, NE 68154Office #2: 6040 South 58th Street, Ste E, Lincoln, NE 68516BD
CRD#: 13572
Omaha, NE
Past
February 1, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Lincoln, NE
Past
January 19, 2021 - February 2, 2023
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
LINCOLN, NE
Past
January 19, 2021 - February 2, 2023
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
LINCOLN, NE
Past
July 16, 2020 - January 15, 2021
MWA FINANCIAL SERVICES INC.
RIA
CRD#: 112630
Lincoln, NE
Past
September 26, 2019 - January 15, 2021
MWA FINANCIAL SERVICES INC.
BD
CRD#: 112630
Lincoln, NE
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 - (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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/31/2023)
RR
Arizona(1/31/2023)
RR
Arkansas(1/31/2023)
RR
California(1/31/2023)
RR
Colorado(1/31/2023)
RR
District of Columbia(1/31/2023)
RR
Florida(1/31/2023)
RR
Georgia(1/31/2023)
RR
Illinois(1/31/2023)
RR
Indiana(1/31/2023)
RR
Iowa(1/31/2023)
RR
Kansas(1/31/2023)
RR
Kentucky(1/31/2023)
RR
Maine(2/13/2023)
RR
Maryland(1/31/2023)
RR
Massachusetts(8/13/2024)
RR
Michigan(1/31/2023)
RR
Minnesota(1/31/2023)
RR
Missouri(1/31/2023)
RR
Montana(1/31/2023)
RR
Nebraska(1/31/2023)
IAR
Nebraska(6/29/2023)
RR
Nevada(1/31/2023)
RR
New Mexico(4/1/2024)
RR
New York(1/31/2023)
RR
Ohio(2/3/2023)
RR
Oklahoma(1/31/2023)
RR
Oregon(1/31/2023)
RR
Pennsylvania(1/31/2023)
RR
South Carolina(1/31/2023)
RR
South Dakota(1/31/2023)
RR
Texas(1/31/2023)
IAR
Texas(6/29/2023)
RR
Utah(1/31/2023)
RR
Virginia(8/26/2025)
RR
Washington(1/31/2023)
RR
Wisconsin(1/31/2023)
RR
Wyoming(1/31/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/26/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
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
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Omaha, NE 68130TRUST BUT VERIFY
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