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John Francis Harty

CWM, LLC

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About John Francis Harty

John Francis Harty is an Investment Adviser Representative at CWM, LLC dba Carson Group Partners. John is a registered Investment Advisor in California. John has over 25 years of experience in the financial services industry. Previously, John was a Financial Advisor at LPL Financial LLC.

Firm Information

John Harty is currently registered with CWM, LLC. CWM, LLC is a registered investment adviser based in Omaha, NE, with over 475 investment adviser representatives. The firm manages a total of $26.77 billion in client assets, primarily for high-net-worth individuals, individuals other than high-net-worth, corporations or other businesses, and pension and profit-sharing plans. The firm offers advisory services such as financial planning, portfolio management for individuals, selection of other advisers, and sub-advisory services for other investment advisory firms. The firm also participates in wrap fee programs.
CWM, LLC

14600 BRANCH ST.

OMAHA, NE 68154

$26.77B

Assets Under Management

629

Total Clients

448

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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sub-advisory services for other investment advisory firms

Sub-advisory services for other investment advisory firms

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Solicitor fees from other investment advisors

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John Harty’s Registration & Firm History

CA

01/31/2019 - Present

CWM, LLC (San Rafael CA)

CA

02/07/2019 - 08/06/2019

CETERA ADVISOR NETWORKS LLC (SAN RAFAEL CA)

CA

03/13/2015 - 02/13/2019

LPL FINANCIAL LLC (SAN FRANCISCO CA)

CA

09/25/2014 - 03/20/2015

CAMBRIDGE INVESTMENT RESEARCH, INC. (SAN FRANCISCO CA)

CA

07/11/2012 - 08/04/2014

ALPS DISTRIBUTORS, INC. (SAN FRANCISCO CA)

TX

11/23/2010 - 05/30/2012

NEXBANK SECURITIES INC (DALLAS TX)

CT

03/06/2008 - 05/20/2010

GE INVESTMENT DISTRIBUTORS, INC (STAMFORD CT)

NY

08/08/2005 - 03/27/2006

SOUTHLAKE CAPITAL, L.L.C. (NEW YORK NY)

ME

12/17/2002 - 08/25/2003

QUASAR DISTRIBUTORS, LLC (PORTLAND ME)

MD

01/01/2001 - 07/17/2002

RYDEX DISTRIBUTORS, INC. (ROCKVILLE MD)

KS

05/24/1999 - 02/08/2000

IVY MACKENZIE DISTRIBUTORS, INC. (OVERLAND PARK KS)

MA

05/01/1998 - 03/30/1999

BOSTON CAPITAL SERVICES,INC. (BOSTON MA)

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Licenses & Designations

IA

Issued 12/17/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/17/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/30/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for John Francis Harty.
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