Earl Hartley, financial advisor Tacoma WA
83 score

Earl Hartley

CRD Number: 1911579
Current Firm: Cetera Advisors LLC

Earl Hartley (CRD# 1911579) is an Investment Advisor Representative working at Cetera Advisors LLC in Tacoma, WA and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Cetera Advisors LLC Denver, CO Jan 2013 - Current 3
Pacific West Securities, Inc. Renton, WA Nov 2010 - Current 6
Pacific West Financial Consultants, Inc. Renton, WA Nov 2010 - Current 6
Sound Reliance Inc. Tacoma, WA Jul 1991 - Current 25
Multi-financial Securities Corporation Denver, CO Feb 2012 - Dec 2012 < 1
Multi-financial Securities Corporation Denver, CO Feb 2012 - Dec 2012 < 1
Royal Alliance Associates, Inc. Tacoma, WA Mar 2007 - Nov 2010 3
United Securities Alliance, Inc. Tacoma, WA Jun 2004 - Mar 2007 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1988
S65 NASAA Investment Advisors Law Examination Jun 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Earl B. Hartley
Phone Number: 800-929-3485
Registered State(s):
  • TX
  • WA
By the Numbers
  • Total Assets Under Management
    9,424
    MILLIONS
  • Total Number of Accounts
    47,356
    ACCOUNTS
  • Average Account Value
    $199,001
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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