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James Erceg

Executive Vice President at Harbor Capital Advisors

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

James Erceg is Executive Vice President of Harbor Capital Advisors, Inc., a Chicago investment adviser managing $67.6B. James Erceg has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 24 and SIE.

Role at Harbor Capital Advisors

Title on Schedule A
Executive Vice President
Control
James Erceg is a control person of Harbor Capital Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
James Erceg has held the filed role since December 2019.

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 SIE · 2018
  2. Passed Series 7 and Series 24 · 2010

Registrations and exams

Broker registration; no current adviser registration. James Erceg has passed 3 qualifying exams.

Examinations

Series 2422 October 2010
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 712 February 2010
Name
General Securities Representative Examination

Individual record

Full name
James Pierson Erceg
CRD
4319310
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 James Erceg work?

James Erceg has been Executive Vice President of Harbor Capital Advisors, Inc. since December 2019, and is a control person of the firm.

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

Does James Erceg have a current investment-adviser registration?

James Erceg has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has James Erceg passed?

James Erceg has passed 3 licensing exams: the Series 7, Series 24 and SIE. The earliest, the Series 7, was passed in February 2010.

Source: IAPD individual record, checked 17 October 2026

Leadership at Harbor Capital Advisors

Sources

  1. IAPD individual record, CRD 4319310. 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 17 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 James Erceg 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.