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Harold Puhl

Cetera Investment Advisers LLC
44 Years of Experience
San Antonio, TX
5 DisclosuresBroker
View SEC Summary
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Harold Puhl is a registered investment advisor at Cetera Investment Advisers LLC, based in San Antonio, TX, with 44 years of industry experience. Harold is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

San Antonio, TX

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2024
Settled
Customer Dispute
February 2002
Pending
Customer Dispute
December 2001
Settled
Employment Separation After Allegations
September 1992
Customer Dispute
October 1988
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Harold is an affiliated person with Financial Network- Landmark Region, operating as a DBA for financial services since 2013. This takes about a quarter of his time, including a significant portion during trading hours.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLC
October 2002 - Present · 24 yrs
Cetera Wealth Services, LLCBroker
October 2002 - Present · 24 yrs
Previous Registrations
Cetera Advisor Networks LLC
April 2006 - June 2023 · 17 yrs 2 mos
Carr-Friesenhahn & Company, INC.Broker
August 1995 - December 2002 · 7 yrs 4 mos
Arneson, Kercheville and Associates, INC.Broker
October 1992 - August 1995 · 2 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1989 - September 1992 · 3 yrs 4 mos
Rauscher Pierce Refsnes, INC.Broker
June 1982 - April 1989 · 6 yrs 10 mos
State Registrations2 states
TXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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