Harris S. Holzberg

HOLZBERG WEALTH MANAGEMENT

Corte Madera, CA

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CRD#: 1011208

Professional summary

Harris S Holzberg is a registered financial advisor currently at HOLZBERG WEALTH MANAGEMENT, INC. located in Corte Madera, California.

Harris is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Harris has worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 3 and Series 24 exams.

Biography

Harris is a Chartered Financial Consultant® (ChFC®) and Chartered Life Underwriter® (CLU®) at Holzberg Wealth Management.  He began his career four decades ago, traveling the country and teaching the securities licensing exams to stockbrokers and supervisors.  He has worked at many prestigious firms, including Prudential-Bache, First Union Securities, Wedbush Securities, and The Equitable Life Assurance Society of the United States.  Harris has also distinguished himself as an expert witness in domestic and international arbitrations testifying in complex securities litigation.  He has also contributed his expertise to help write test questions for the financial advisor licensing exams on behalf of the North American Securities Administrators Association (NASAA).

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1-HARRIS HOLZBERG TYPE OF BUSINESS SECURITIES EXPERT WITNESS; SOLE PROP.;TITLE-CONSULTANT;DUTIES-LITIGATION SUPPORT 24 HAWTHORNE LANE, CORTE MADERA, CA 94925 PERCENTAGE OF TIME SPEND IN ACTIVITIES INVOLVING THE OUTSIDE BUSINESS ACTIVITY IS 5%

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harris S Holzberg's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 12, 2013 - Present

HOLZBERG WEALTH MANAGEMENT, INC.

RIA

CRD#: 166712

Corte Madera, CA

Past

May 31, 2007 - April 25, 2013

WEDBUSH SECURITIES INC.

RIA

CRD#: 877

CORTE MADERA, CA

Past

March 22, 2000 - April 25, 2013

WEDBUSH SECURITIES INC.

CRD#: 877

CORTE MADERA, CA

Past

March 8, 1999 - May 12, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

March 11, 1992 - June 9, 1993

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

March 11, 1992 - June 9, 1993

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

May 25, 1989 - November 26, 1990

RICHARD SCOTT ASSET MANAGEMENT, INC.

CRD#: 14590

BOCA RATON, FL

Past

January 19, 1987 - January 1, 1988

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

June 12, 1985 - June 23, 1987

M.D. ADVISORS, INC.

CRD#: 16479

Past

July 26, 1984 - February 5, 1985

CENTAUR INVESTMENTS, INC.

CRD#: 10790

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/12/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/19/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/5/1999

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 6/14/1984

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 8/5/1985

General Securities Principal Examination

Current Firm

HOLZBERG WEALTH MANAGEMENT, INC.

HOLZBERG WEALTH MANAGEMENT | HOLZBERG, HARRIS S | HOLZBERG, HARRIS | HOLZBERG WEALTH MANAGEMENT, INC.

CRD#: 166712 / SEC#:

California

Registered Investment Advisory firm - (4/12/2013 Approved)

Texas

Registered Investment Advisory firm - (11/13/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Corte Madera, CA

Mailing Address

Phone number

(415) 891-4046

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	156
AUM (Assets Under Management)	$ 53,933,214

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/17/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Harris S. Holzberg

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harris S Holzberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEDBUSH SECURITIES INC.

WEDBUSH SECURITIES INC.

WELLS FARGO CLEARING SERVICES, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

RICHARD SCOTT ASSET MANAGEMENT, INC.

PRUDENTIAL EQUITY GROUP, LLC

M.D. ADVISORS, INC.

CENTAUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/19/1999

Series 63

Date: 1/12/1999

Series 7

Date: 1/5/1999

Series 3

Date: 6/14/1984

Series 24

Date: 8/5/1985

Current Firm

HOLZBERG WEALTH MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HOLZBERG WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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