Michael R. Harley

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CRD#: 732171

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Robert Harley was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 3 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 17, 2003 - November 29, 2013

FIRST WASHINGTON CORPORATION

CRD#: 6681

SEATTLE, WA

Past

February 19, 1992 - October 26, 2001

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

February 16, 1988 - December 17, 1991

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

May 10, 1983 - January 13, 1988

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

Past

June 23, 1981 - March 31, 1983

DAIN RAUSCHER INCORPORATED

CRD#: 7600

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".

FIRST WASHINGTON CORPORATION

CRD#: 6681 / SEC#: 801-66192, 8-17974

RIA

Registered Investment Advisory firm - SEC (1/30/2006 Approved)

Washington

Registered Investment Advisory firm - SEC (1/3/2007 Terminated)

Terminated by SEC on 12/13/2013

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 7/29/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 2/9/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/20/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/30/1985

General Securities Principal Examination

Current Firm

FIRST WASHINGTON CORPORATION

CRD#: 6681 / SEC#: 801-66192, 8-17974

RIA

Registered Investment Advisory firm - SEC (1/30/2006 Approved)

Washington

Registered Investment Advisory firm - SEC (1/3/2007 Terminated)

Terminated by SEC on 12/13/2013

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Contact information

Main Address

2001 6th Ave Ste 3400, Seattle, WA 98121

Mailing Address

Phone number

(206) 624-8320

Established

Washington since 11/20/1937

Firm type

Corporation

Fiscal year end

September

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRST WASHINGTON CORP FORM ADV PART2A DATED 12/15/2024 (12/23/2024)

Direct owners and executive officers

Name	Position	CRD#
LEWIS INVESTORS, LLC	OWNER
LEWIS, DAVID DIXON	CHAIRMAN, ROSFP	1004661
LEWIS, DAVID DIXON	CHIEF COMPLIANCE OFFICER	1004661
MCINTYRE, TERESA ANN	SECRETARY/TREASURER	1697791
MCINTYRE, TERESA ANN	FINANCIAL OPERATIONS PRINCIPAL	1697791

Regulatory assets under management

Total Number of Accounts	31
AUM (Assets Under Management)	$ 427,515,633

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.

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Firm Stability Insights

Michael R. Harley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO INVESTMENTS, LLC

DAIN RAUSCHER INCORPORATED

WELLS FARGO INVESTMENTS, LLC

DAIN RAUSCHER INCORPORATED

Primary Firm SEC Registration

FIRST WASHINGTON CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 7/29/1981

Series 55

Date: 2/9/2000

Series 7

Date: 6/20/1981

Series 24

Date: 8/30/1985

Current Firm

FIRST WASHINGTON CORPORATION

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

FIRST WASHINGTON CORPORATION

TRUST BUT VERIFY

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