Duane Haley
Duane Haley is a registered investment advisor at Cetera Investment Advisers LLC, based in Carmel, IN, with 18 years of industry experience. Duane 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
Firm Size
IM Fee
Assets Under Management
Location
1905 S New Market St, Suite 259, Carmel, IN, 46032
Get directionsHistory
Regulatory History (4)
Financial
January 2019Financial
February 2018Customer Dispute
November 2016Criminal
January 1977Other Business Activities
Duane is a financial professional at Cornerstone Financial Advisory DJH LLC DBA Haley Wealth Management, supporting his business through marketing since 2018. This takes a full-time commitment, with a few hours per week during trading hours.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Advisors LLCBroker
Previous Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
New England Securities Corporation
New England SecuritiesBroker
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations3 states
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
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