Gaylen James Harms

Current Employers

Employment History

• 07/1983 → 08/2023
  Securian Financial Services, Inc.
  St. Paul, MN
• 07/1983 → 10/2021
  C.R.I. Securities, Inc.
  St. Paul, MN
• 06/1983 → Present
  North Star Consultants, Inc
  Minneapolis, MN
• 06/1983 → 08/2023
  Minnesota Life Insurance Company
  St. Paul, MN
• 04/2003 → Present
  Self-Employed
  Minnetonka, MN
• 06/2000 → Present
  Fortune Financial Holdings Llc
  Minnetonka, MN
• 08/2023 → Present
  Cetera Wealth Services, Llc
  Minnetonka, MN
• 08/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 01/2025 → Present
  Harms Financial Advisory Services, Llc
  Estero, FL

Previous Registrations

• 2013-12-20 → 2023-08-10
  Securian Financial Services, Inc.
  Minnetonka, MN
  Minnetonka, MN
  St. Paul, MN
• 2013-12-20 → 2021-10-18
  Cri Securities, Llc
  Minnetonka, MN
  Minnetonka, MN

Other Businesses

1. FORTUNE FINANCIAL LLC POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2017 ADDRESS: , Minnetonka MN , United States DESCRIPTION: Agent/Broker 2. NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2011 ADDRESS: , Minnetonka MN , United States DESCRIPTION: Agent/Broker 3. NOTARY PUBLIC POSITION: Independent Contractor NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2008 ADDRESS: , Bloomington MN , United States DESCRIPTION: Independent Contractor 4. RJR INSURANCE AGENCY INC POSITION: Independent Contractor NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2010 ADDRESS: , Minnetonka MN , United States DESCRIPTION: Independent Contractor 5. WALKER METHODIST POSITION: Director NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Director 6. FORTUNE FINANCIAL HOLDINGS LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2000 ADDRESS: 10261 Yellow Circle Drive, Minnetonka MN 55343, United States DESCRIPTION: 25% owner of office building that Fortune Financial operates from; 7. NAME OF OTHER BUSINESS: WOLF RIDGE ELC; INVESTMENT RELATED: NO; ADDRESS: 6282 CRANBERRY RD, FINLAND, MN; NATURE OF BUSINESS: BOARD; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: TREASURER & FINANCE CHAIR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: GOVERN THE ORGANIZATION TO HELP IT COMPLETE ITS MISSION; 8. NAME OF OTHER BUSINESS: HARMS FINANCIAL ADVISORY SERVICES, LLC, INVESTMENT RELATED: YES, ADDRESS: 23072 MARSH LANDING BLVD, ESTERO, FL 33928, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: USED FOR EXPENSE MANAGEMENT OF MY INVESTMENT ADVISORY BUSINESS;

Exams

• S63 Uniform Securities Agent State Law Examination
  1983-09-01

Designations