NH
CFP
NH
CFP
Neil Harnen
20 Years of Experience
Wheaton, IL
2 DisclosuresBrokerSells Insurance
Neil Harnen is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Wheaton, IL, with 20 years of industry experience. Neil 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.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
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Location
212 S West St, Wheaton, IL, 60187
Get directionsHistory
Regulatory History (2)
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Customer Dispute
December 2012Settled
Customer Dispute
July 2009Settled
Other Business ActivitiesSells Insurance
Neil sells non-variable insurance and has been doing so since 2006. This activity requires minimal time.
Employment History
Current Registrations
Cetera Investment Advisers LLC
January 2026 - Present · 9 mos
Cetera Investment Services LLCBroker
December 2025 - Present · 10 mos
Previous Registrations
LPL Financial LLC
July 2023 - December 2025 · 2 yrs 5 mos
LPL Financial LLCBroker
July 2023 - December 2025 · 2 yrs 5 mos
B. Riley Wealth ManagementBroker
July 2022 - July 2023 · 1 yr
B. Riley Wealth Advisors, INC.
February 2019 - July 2023 · 4 yrs 5 mos
National Securities CorporationBroker
February 2019 - July 2022 · 3 yrs 5 mos
Cambridge Investment Research Advisors, INC.
July 2014 - February 2019 · 4 yrs 7 mos
Cambridge Investment Research, INC.Broker
July 2014 - February 2019 · 4 yrs 7 mos
Fifth Third Securities, INC.
June 2007 - May 2014 · 6 yrs 11 mos
Fifth Third Securities, INC.Broker
June 2007 - May 2014 · 6 yrs 11 mos
Chase Investment Services CORP.
October 2006 - June 2007 · 8 mos
Chase Investment Services CORP.Broker
October 2006 - June 2007 · 8 mos
Cassandra Trading Group, LLCBroker
January 2006 - May 2006 · 4 mos
State Registrations11 states
ALAZCAFLILINMIMONCNYWI
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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