John Francis Harty

Employer firm

Cwm, LLC CRD 155344

$50.6B regulatory AUM 248 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORY FIRMS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2015 → 01/2019
  Lpl Financial Llc
  San Francisco, CA
• 02/2015 → 01/2019
  Sterling Bank & Trust
  San Francisco, CA
• 02/2019 → Present
  Cwm, Llc
  Omaha, NE
• 02/2019 → 04/2025
  Cetera Advisor Networks
  El Segundo, CA
• 01/2019 → Present
  Carson Wealth
  San Rafael, CA

Previous Registrations

• 2015-03-13 → 2019-02-13
  Lpl Financial Llc
  San Francisco, CA
  San Francisco, CA
  San Diego, CA
  San Rafael, CA
  San Francisco, CA
• 2014-12-17 → 2015-03-20
  Cambridge Investment Research Advisors, Inc.
  San Francisco, CA

Other Businesses

NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES AND LONG TERM CARE NAME OF OTHER BUSINESS: Corinthian Yacht Club of San Francisco INVESTMENT RELATED: NO ADDRESS: 43 MAIN STREET Tiburon CA NATURE OF BUSINESS: ADVISORY BOARD START DATE: 01/2021 POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS APX NUMBER OF HOURS PER WEEK: 2 HOURS PER MONTH APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-12-17
• S63 Uniform Securities Agent State Law Examination
  1998-03-17

Other Names

• John Francis Harty