Alan Harter has been Chief Executive Officer of Pactolus Private Wealth Management since January 2011, is a control person of the firm and directly owns between 25% and 50% of it. Alan Harter holds a Bachelor of Science in Commerce with a major in Finance from Santa Clara University.
Pactolus Private Wealth Management LLC is a Vienna, VA firm with $188M under management, 307 clients and 2 advisers in one office, as of its September 2026 filing.
Alan Harter is the Founder and CEO of Pactolus, which he founded in January 2011. The firm offers knowledge-sharing and customized solutions for entrepreneurs and their high-net-worth families. He leads the expansion of the Pactolus global network.
Alan Harter’s longest registration is the current one, 15 years at Pactolus Private Wealth Management since 2011. Before joining Pactolus Private Wealth Management in 2011, Alan Harter was registered through Morgan Stanley Smith Barney LLC and Citigroup Global Markets Inc.
- Morgan Stanley Smith Barney LLC– · 1 yearAlexandria, VA · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 3 yearsAlexandria, VA · Adviser representative · Firm CRD 7059
- Wachovia Securities, LLC– · 2 yearsMcLean, VA · Adviser representative · Firm CRD 19616
- UBS Painewebber Inc.– · 5 yearsSacramento, CA · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Alan Harter is registered as an investment adviser representative in Virginia, since January 2011.
- VirginiaSince 28 January 2011
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 79 | Investment Banking Registered Representative Examination | 10 November 2016 |
| Series 24 | General Securities Principal Examination | 29 June 2015 |
| Series 65 | Uniform Investment Adviser Law Examination | 22 August 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 September 1991 |
| Series 7 | General Securities Representative Examination | 4 September 1991 |
- Name
- Securities Industry Essentials Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Alan Mitchell Harter
- CRD
- 2165788
- Firm
- Pactolus Private Wealth Management · CRD 155195
- Role
- Chief Executive Officer
- Office
- 8614 WESTWOOD CENTER DRIVE, SUITE 620, Vienna, VA 22182
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1992
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- pactolus.com
Where does Alan Harter work?
Alan Harter has been Chief Executive Officer of Pactolus Private Wealth Management LLC since January 2011, and is a control person of the firm.
Is Alan Harter a financial advisor?
Yes. Alan Harter has a current investment-adviser registration in Virginia, through Pactolus Private Wealth Management since January 2011.
How many years of experience does Alan Harter have?
Alan Harter has 34 years in the financial industry, since March 1992, across 5 adviser firms.
What exams has Alan Harter passed?
Alan Harter has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 24 and Series 79. The earliest, the Series 7, was passed in September 1991. FINRA credited Alan Harter with the SIE, which began in October 2018.
Where did Alan Harter work before Pactolus Private Wealth Management?
Before Pactolus Private Wealth Management, Alan Harter was registered through Citigroup Global Markets Inc., January 2006 to June 2009; Wachovia Securities, LLC, May 2003 to December 2005; UBS Painewebber Inc., July 1997 to December 2002.
Where is Alan Harter based?
Alan Harter’s registered office is in Vienna, VA.
Is Alan Harter registered with FINRA?
Yes. Alan Harter has a current broker registration, under CRD 2165788.
Source: FINRA BrokerCheck
How can I verify Alan Harter’s record?
Search CRD 2165788 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Alan Harter’s full registration record.
- Gery SadzewiczChief Compliance Officer