Robert L. Harger

Some features on this profile are disabled

CRD#: 863069

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.

Robert Lee Harger JR, who also goes by Bob Harger, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1978. Robert had worked at 3 firms and has passed the Series 66, Series 63, Series 52TO, Series 7TO, Series 99TO, SIE, Series 24, Series 53 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Harger

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.

PRESIDENT OF R.L. HARGER ASSOCIATES, INC. AND ATM PROPERTIES ALSO TEACH A NON-CREDIT CONTINUING EDUCATION FINANCIAL PLANNING COURSE THROUGH NORTHWESTERN STATE UNIVERSITY. None of these activities are investment related. The address of the business is 8048 One Calais Avenue Suite D Baton Rouge, LA 70809. RL Harger and Associates is the parent company of Harger and Company, Inc. and ATM Properties is the company that owns the building that Harger and Company, Inc. rents. I am the president of both companies. I started my relationship with RL Harger and Associates in 1981 and ATM Properties in 2008. I spend about 1 hour per month on each of these companies during trading hours. The only duties that I do with these companies is general office related duties. For the teaching activity, this is on an as needed basis. I have done this class since about 2000 and when I am teaching a class, it will take up about 12 hours per month. None of this is done during trading hours and it is educationally related to investments in that it covers a brief overview of financial planning.

Blog Corner

CRS (Client Relationship Summary)

SHELTER SECURITIES CORPORATION

CRD#: 10026

Past

December 15, 1978 - November 18, 1981

COMBINED EQUITY SECURITIES, INC.

CRD#: 7582

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".

HARGER AND COMPANY, INC.

HARGER AND COMPANY, INC. | SUNSOUTH EQUITY CORPORATION | R.L. HARGER AND COMPANY, INC. | HARGER, APARICIO & CO., INC.

CRD#: 10385 / SEC#: 801-129739, 8-27287

RIA

Registered Investment Advisory firm - SEC (3/22/2024 Approved)

Louisiana

Registered Investment Advisory firm - SEC (4/1/1996 Approved)

Texas

Registered Investment Advisory firm - SEC (9/25/2002 Conditional Restricted)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Registered Principal Examination

Current Firm

HARGER AND COMPANY, INC.

HARGER AND COMPANY, INC. | SUNSOUTH EQUITY CORPORATION | R.L. HARGER AND COMPANY, INC. | HARGER, APARICIO & CO., INC.

CRD#: 10385 / SEC#: 801-129739, 8-27287

RIA

Registered Investment Advisory firm - SEC (3/22/2024 Approved)

Louisiana

Registered Investment Advisory firm - SEC (4/1/1996 Approved)

Texas

Registered Investment Advisory firm - SEC (9/25/2002 Conditional Restricted)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8048 One Calais Ave Suite D Suite D, Baton Rouge, LA 70809

Mailing Address

8048 One Calais Ave Suite D, Baton Rouge, LA 70809

Phone number

(225) 767-7228

Established

Louisiana since 01/01/1981

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HARGER - FORM ADV PART 2A BROCHURE - FEB 2025 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
R. L. HARGER & ASSOCIATES, INC.	HOLDING COMPANY
DOWDEN, CHRISTOPHER MICHAEL	VP OPERATIONS/CCO/FINOP	4089978
HARGER, MATTHEW BENNETT	PRESIDENT	3021341

Regulatory assets under management

Total Number of Accounts	427
AUM (Assets Under Management)	$ 123,253,006

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert L. Harger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HARGER AND COMPANY, INC.

SHELTER SECURITIES CORPORATION

COMBINED EQUITY SECURITIES, INC.

Primary Firm SEC Registration

HARGER AND COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2009

Series 63

Date: 12/6/1979

Series 52TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 24

Date: 1/2/2023

Series 53

Date: 7/8/1994

Series 40

Date: 11/22/1978

Current Firm

HARGER AND COMPANY, INC.

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (20 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HARGER AND COMPANY, INC.

TRUST BUT VERIFY

Similar Advisors