HF
Harlan J. Fischer
BRANCH FINANCIAL SERVICES
Setauket, NY 11733
CRD#: 811927
HF
Professional summary
Harlan Jay Fischer is a registered financial advisor currently at BRANCH FINANCIAL SERVICES, INC. located in Setauket, New York and CETERA INVESTMENT ADVISERS LLC located in Setauket, New York.
Harlan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Harlan has worked at 7 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE and Series 1 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. CHAIRMAN OF VILLAGE PLANNING BOARD, HARBOR, NY, 2 HOURS SECURITIES, 2 HOURS NON SECURITIES, SINCE 5/2004; 2. BRANCH FINANCIAL SERVICES, INC., INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 02/25/1995, 40HRS/WK (32.5 TRADING HOURS), REGISTERED REPRESENTATIVE, INVESTMENT ADVISOR REPRESENTATIVE; 3. NAME OF OTHER BUSINESS: BRANCH FINANCIAL SERVICES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 2011 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING ONLY 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/1974; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 5. NAME OF OTHER BUSINESS: SUFFOLK COUNTY CITIZENS ADVISORY BOARD FOR THE ARTS (CAB); INVESTMENT RELATED: NO; ADDRESS: 100 VETERANS MEMORIAL HWY; HAUPPAUGE, NY 11788; NATURE OF BUSINESS: BOARD; START DATE: 12/2023; POSITION/TITLE/RELATIONSHIP: APPOINTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REVIEW GRANT PROPOSALS FOR VARIOUS ART AND CULTURAL ORGANIZATIONS IN SUFFOLK COUNTY;
CRS (Client Relationship Summary) - RIA
Click below to view Harlan Jay Fischer'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
May 5, 2021 - Present
BRANCH FINANCIAL SERVICES, INC.
Office #1: 21 Bennetts Road Suite 201, Setauket, NY 11733RIA
CRD#: 146985
Setauket, NY
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 21 Bennetts Rd Suite 201, Setauket, NY 11733RIA
CRD#: 105644
SETAUKET, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 21 Bennetts Rd Suite 201, Setauket, NY 11733BD
CRD#: 13572
Setauket, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
SMITHTOWN, NY
Past
January 31, 1982 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
June 24, 1977 - September 19, 1983
LEGEND CAPITAL CORPORATION
BD
CRD#: 4149
Past
September 3, 1975 - December 19, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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
Arizona(9/3/2013)
RR
California(9/3/2013)
RR
Colorado(11/7/2024)
RR
Connecticut(9/3/2013)
RR
Delaware(9/3/2013)
RR
Florida(9/3/2013)
RR
Georgia(9/3/2013)
RR
Hawaii(2/20/2020)
RR
Illinois(9/3/2013)
RR
Iowa(1/29/2025)
RR
Louisiana(9/3/2013)
RR
Maine(9/3/2013)
RR
Maryland(9/3/2013)
RR
Massachusetts(9/3/2013)
RR
Michigan(9/3/2013)
RR
Minnesota(1/4/2022)
RR
New Hampshire(9/3/2013)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
IAR
New York(5/5/2021)
RR
North Carolina(9/3/2013)
RR
Ohio(9/3/2013)
RR
Pennsylvania(9/3/2013)
RR
South Carolina(9/3/2013)
RR
Texas(2/14/2025)
IAR
Texas(2/14/2025)
RR
Utah(8/4/2023)
RR
Vermont(9/3/2013)
RR
Virginia(9/3/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/28/1975
Registered Representative ExaminationSRO 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Setauket, NY 11733TRUST BUT VERIFY
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Contact information
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