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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

EARL BARNEY HARTLEY

Advisor at CETERA INVESTMENT ADVISERS LLC

TACOMA, WA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Aug 19, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 29, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Dec 29, 1988
First registration: Aug 19, 1999
Dual registered: yes, broker-dealer
Other names: EARL BERNARD HARTLEY|BARNEY HARTLEY
IAPD individual key: 1911579

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 21, 2024	n/a	yes	TACOMA, WA	Current employment
PACIFIC WEST FINANCIAL CONSULTANTS INC	Former SEC adviser	Nov 5, 2010	Feb 28, 2012	no	RENTON, WA	Previous registration
UNITED SECURITIES ALLIANCE, INC.	n/a	Apr 27, 2007	Nov 5, 2010	no	ENGLEWOOD, CO\|GREENWOOD VILLAGE, CO	Previous registration
UNITED SECURITIES ALLIANCE, INC.	n/a	Apr 27, 2007	Dec 31, 2007	no	ENGLEWOOD, CO	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Mar 1, 2007	Nov 12, 2010	no	TACOMA, WA	Previous registration
UNITED SECURITIES ALLIANCE, INC.	n/a	Jun 28, 2004	Mar 1, 2007	no	TACOMA, WA\|GREENWOOD VILLAGE, CO\|TACOMA, WA	Previous registration
THE INVESTMENT CENTER, INC.	n/a	Aug 19, 1999	Jun 29, 2004	no	TACOMA, WA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PACIFIC WEST FINANCIAL CONSULTANTS INC	CETERA INVESTMENT ADVISERS LLC	Feb 28, 2012	Mar 21, 2024	4,405	Firm change after gap	Other
OSAIC WEALTH, INC.	UNITED SECURITIES ALLIANCE, INC.	Nov 12, 2010	Apr 27, 2007	-1,295	Firm change after gap	Other
UNITED SECURITIES ALLIANCE, INC.	PACIFIC WEST FINANCIAL CONSULTANTS INC	Nov 5, 2010	Nov 5, 2010	0	Firm change	Other
UNITED SECURITIES ALLIANCE, INC.	OSAIC WEALTH, INC.	Mar 1, 2007	Mar 1, 2007	0	Firm change	Other
THE INVESTMENT CENTER, INC.	UNITED SECURITIES ALLIANCE, INC.	Jun 29, 2004	Jun 28, 2004	-1	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ PACIFIC WEST FINANCIAL CONSULTANTS INCRegistered adviserregistration: previous registration
Nov 5, 2010 to Feb 28, 2012factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Mar 1, 2007 to Nov 12, 2010factForm ADV
→ UNITED SECURITIES ALLIANCE, INC.Registered adviserregistration: previous registration
Apr 27, 2007 to Nov 5, 2010factForm ADV
→ THE INVESTMENT CENTER, INC.Registered adviserregistration: previous registration
Aug 19, 1999 to Jun 29, 2004factForm ADV

Dated events

No dated event names this entity yet.