Chad Harmon has been an investment adviser representative at A & I Financial Services since April 2010, and is not listed among the firm’s executive officers or direct owners. Chad Harmon holds a Bachelor of Arts in Finance from the University of Colorado, Boulder.
A & I Financial Services, LLC is a Lone Tree, CO firm with $560M under management, 518 clients and 9 advisers in one office, as of its April 2026 filing.
Chad Harmon is Partner and Financial Advisor of A&I Wealth Management, based in Lone Tree, Colorado. He began his career in personal banking and financial planning at Wells Fargo Bank, built his financial planning practice at AXA Advisors from 2006, and later joined A&I Wealth Management.
Chad Harmon’s longest registration is the current one, 16 years at A & I Financial Services since 2010. Before joining A & I Financial Services in 2010, Chad Harmon was registered through Axa Advisors, LLC.
- Geneos Wealth Management, Inc.Also current– present · 10 yearsLone Tree, CO · Adviser representative · Firm CRD 120894
- A & I Wealth ManagementCurrent– present · 16 yearsLone Tree, CO · Adviser representative · Firm CRD 148357
- Axa Advisors, LLC– · 3 yearsDenver, CO · Adviser representative · Firm CRD 6627
Investment adviser representative registrations
Chad Harmon is registered as an investment adviser representative in 2 states. The first approvals date from April 2010; the most recent is Illinois, in October 2026.
- ColoradoSince 13 April 2010
- IllinoisSince 19 October 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 15 November 2006 |
| Series 7 | General Securities Representative Examination | 22 June 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Chad Michael Harmon
- CRD
- 5132921
- Firm
- A & I Financial Services · CRD 148357
- Office
- 9605 KINGSTON COURT, SUITE 190, Lone Tree, CO 80112
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- assetsandincome.com
Where does Chad Harmon work?
Chad Harmon is an investment adviser representative registered through A & I Financial Services, LLC since April 2010, and is not listed among the firm’s executive officers or direct owners.
Is Chad Harmon a financial advisor?
Yes. Chad Harmon has a current investment-adviser registration in Colorado and Illinois, through A & I Financial Services since April 2010.
How many years of experience does Chad Harmon have?
Chad Harmon has 20 years in the financial industry, since July 2006, across 3 adviser firms.
What exams has Chad Harmon passed?
Chad Harmon has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in June 2006. FINRA credited Chad Harmon with the SIE, which began in October 2018.
Where did Chad Harmon work before A & I Financial Services?
Before A & I Financial Services, Chad Harmon was registered through Axa Advisors, LLC, December 2006 to April 2010.
Where is Chad Harmon based?
Chad Harmon’s registered office is in Lone Tree, CO.
Is Chad Harmon registered with FINRA?
Yes. Chad Harmon has a current broker registration, under CRD 5132921.
Source: FINRA BrokerCheck
How can I verify Chad Harmon’s record?
Search CRD 5132921 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Chad Harmon’s full registration record.