Harold Puhl: $100K Complaint Against Cetera Advisor

Leander, Texas financial advisor Harold Puhl (CRD# 1045552) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Investment Services and an advisor with Cetera Investment Advisers.

Mr. Puhl’s BrokerCheck report discloses multiple investor complaints. The most recent, filed in May 2024, alleges that as a representative of Cetera Advisor Networks, he recommended unsuitable real estate investments. The pending complaint alleges damages of $100,000.

An earlier investor complaint, filed in 2001, alleged that as a representative of Carr-Friesenhahn & Company, he mishandled the customer’s account. The complaint reached a settlement of $250,000.

A third investor complaint, filed in 1988, alleged that as a representative of Rauscher Pierce Refsnes, he made unsuitable and excessive trades and failed to repay a loan. The complaint reached a settlement of $50,000.

According to the Financial Industry Regulatory Authority, Harold Puhl holds 42 years of securities industry experience. Based in Leander, Texas, he has been registered as a broker with Cetera Investment Services since 2002 and an advisor with Cetera Investment Advisers since 2023. His past registrations include Cetera Advisor Networks, Carr-Freisenhahn & Company, Arnseon Kerchevile and Associates, Merrill Lynch, and Rauscher Pierce Refsnes. His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Texas and Virginia. (Information current as of August 31, 2024.)

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