Niva WealthLet’s talk

Charles Mccain

Director; Chief Executive Officer at Harbor Capital Advisors

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Charles Mccain is Director; Chief Executive Officer of Harbor Capital Advisors, Inc., a Chicago investment adviser managing $67.6B. Charles Mccain has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 24, SIE and Series 99TO.

Role at Harbor Capital Advisors

Title on Schedule A
Director; Chief Executive Officer
Control
Charles Mccain is a control person of Harbor Capital Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Charles Mccain has held the filed Director role since 2007-09-01 and Chief Executive Officer role since 2017-09-01.

The firm

Harbor Capital Advisors, Inc.
Chicago, IL

Form ADV filed 5 August 2026

$67.6B AUM27 clients25 advisers3 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 7 and Series 24 · 2007

Registrations and exams

Broker registration; no current adviser registration. Charles Mccain has passed 4 qualifying exams.

Examinations

Series 2423 April 2007
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 79 April 2007
Name
General Securities Representative Examination

Individual record

Full name
Charles Frederick Mccain
CRD
4865638
Firm
Harbor Capital Advisors, Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Charles Mccain work?

Charles Mccain is Director; Chief Executive Officer of Harbor Capital Advisors, Inc., and is a control person of the firm.

Source: Form ADV, Schedule A, filed 5 August 2026

Does Charles Mccain have a current investment-adviser registration?

Charles Mccain has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Charles Mccain passed?

Charles Mccain has passed 4 licensing exams: the Series 7, Series 24, SIE and Series 99TO. The earliest, the Series 7, was passed in April 2007.

Source: IAPD individual record, checked 18 October 2026

Leadership at Harbor Capital Advisors

  • Walter Breuninger
    Senior Vice President & Chief Compliance Officer
  • Stephen Cook
    Chief Operations Officer, Senior Vice President
  • James Erceg
    Executive Vice President
  • Kristof Gleich
    President
  • John Halaby
    Executive Vice President
  • Diana Roman-Podgorny
    Executive Vice President, General Counsel & Secretary
  • Kiyoshi Habiro
    Director
  • M.A.A.C. (mark) Talbot
    Director
  • Gilbert Van Hassel
    Director
  • David Van Hooser
    Chairman of the Board of Directors, Director

Sources

  1. IAPD individual record, CRD 4865638. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Harbor Capital Advisors, Inc., filed 5 August 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Charles Mccain or Harbor Capital Advisors, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.