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Walter Breuninger

Senior Vice President & Chief Compliance Officer at Harbor Capital Advisors

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

1
Past adviser firms
7
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Walter Breuninger is Senior Vice President & Chief Compliance Officer of Harbor Capital Advisors, Inc., a Chicago investment adviser managing $67.6B. Walter Breuninger has a current broker registration and no current investment-adviser registration and has passed 7 licensing exams.

Role at Harbor Capital Advisors

Title on Schedule A
Senior Vice President & Chief Compliance Officer
Control
Walter Breuninger is a control person of Harbor Capital Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Walter Breuninger has held the filed role since November 2024.

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 52TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 9 and Series 10 · 2012
  4. Wells Fargo Clearing Services, LLC
    – · 8 years
    Oakhurst, NJ · Adviser representative · Firm CRD 19616
  5. Passed Series 65 · 2011
  6. Passed Series 7 and Series 63 · 2005

Registrations and exams

Broker registration; no current adviser registration. Walter Breuninger has passed 7 qualifying exams.

Examinations

Series 6511 March 2011
Name
Uniform Investment Adviser Law Examination
Series 6327 May 2005
Name
Uniform Securities Agent State Law Examination
Series 1010 March 2012
Name
General Securities Sales Supervisor - General Module Examination
Series 93 March 2012
Name
General Securities Sales Supervisor - Options Module Examination
Series 52TO2 January 2023
Name
Municipal Securities Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 723 May 2005
Name
General Securities Representative Examination

Individual record

Full name
Walter Otto Breuninger
CRD
4934936
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 Walter Breuninger work?

Walter Breuninger has been Senior Vice President & Chief Compliance Officer of Harbor Capital Advisors, Inc. since November 2024, and is a control person of the firm.

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

Does Walter Breuninger have a current investment-adviser registration?

Walter Breuninger 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 Walter Breuninger passed?

Walter Breuninger has passed 7 licensing exams: the Series 7, Series 63, Series 65, Series 9, Series 10, SIE and Series 52TO. The earliest, the Series 7, was passed in May 2005.

Source: IAPD individual record, checked 18 October 2026

Where was Walter Breuninger previously registered as an investment adviser?

Walter Breuninger has past investment-adviser registrations through Wells Fargo Clearing Services, LLC, March 2011 to August 2019, across 1 firm.

Source: IAPD individual record, checked 18 October 2026

Leadership at Harbor Capital Advisors

Sources

  1. IAPD individual record, CRD 4934936. 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 Walter Breuninger 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.