David L. Harris

MCF ADVISORS

Lexington, KY 40507

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CRD#: 1235595

Professional summary

David Lee Harris JR, who also goes by Dave Harris Jr, is a registered financial advisor currently at MCF ADVISORS, LLC located in Lexington, Kentucky.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. David has worked at 11 firms and has passed the Series 66, Series 63, Series 7, Series 22, Series 51, Series 24 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Harris Jr

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. SEVEN STONES FARM, LLC / INVESTMENT-RELATED: NO / 214 FOREST TRAIL, NICHOLASVILLE, KY 40356 / NATURE OF BUSINESS: FARMING / TITLE: CHAIRMAN / START DATE: 3/15/19 / HOURS PER MONTH: 10 / HOURS PER MONTH DURING SECURITIES TRADING HOURS: <5 / DUTIES: OWNER OPERATOR 2. WORLDWIDE EQUIPMENT ENTERPRISES, INC. / INVESTMENT-RELATED: NO / 107 WE DRIVE, PRESTONBURG, KY 41653 / NATURE OF BUSINESS: HEAVY TRUCKS DEALER / TITLE: BOARD OF DIRECTORS / START DATE: 11/1/2020 / HOURS PER MONTH: <5 / HOURS PER MONTH DURING SECURITIES TRADING HOURS: <5 / DUTIES: ADVISORY 3. UNIVERSITY OF PIKEVILLE / INVESTMENT-RELATED: NO / 147 SYCAMORE ST., PIKEVILLE, KY 41501 / NATURE OF BUSINESS: EDUCATION / TITLE: BOARD OF TRUSTEES / START DATE: 7/1/2023 / HOURS PER MONTH: <10 / HOURS PER MONTH DURING SECURITIES TRADING HOURS: <10 / DUTIES: ADVISORY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lee Harris JR's CRS (Customer Relationship Summary).

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

January 5, 2017 - Present

MCF ADVISORS, LLC

Office #1: 333 West Vine Street Suite 1740, Lexington, KY 40507Office #2: 333 West Vine Street Suite 1740, Lexington, KY 40507

RIA

CRD#: 130372

Lexington, KY

Past

April 17, 2006 - December 31, 2008

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

COVINGTON, KY

Past

February 24, 2004 - December 31, 2016

MCF ADVISORS, LLC

RIA

CRD#: 130372

Lexington, KY

Past

August 12, 2003 - March 12, 2004

MID CENTRAL FINANCIAL ADVISORS, INC.

RIA

CRD#: 119668

COVINGTON, KY

Past

July 15, 2003 - August 27, 2003

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

COVINGTON, KY

Past

July 15, 2003 - April 18, 2006

FSC SECURITIES CORPORATION

CRD#: 7461

COVINGTON, KY

Past

January 17, 2003 - June 20, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

August 12, 1994 - December 14, 1995

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

December 18, 1989 - December 8, 1998

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

November 19, 1989 - January 1, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 10, 1986 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 19, 1985 - January 4, 1990

INTEGRATED RESOURCES MARKETING, INC.

CRD#: 6546

NEW YORK, NY

Past

February 8, 1984 - January 14, 1985

SHANNON BROOK FARMS, INC.

CRD#: 14341

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MCF ADVISORS, LLC

D/B/A MCF | MCF ADVISORS, LLC | D/B/A MCF PRIVATE INVESTMENTS | D/B/A MCF INSTITUTIONAL

CRD#: 130372 / SEC#: 801-62765

RIA

Registered Investment Advisory firm - (2/6/2004 Approved)

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

Kentucky
(1/5/2017)

IAR

Ohio
(1/5/2017)

IAR

Texas
(1/5/2017)

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 66

Date: 1/16/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/21/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/2/2003

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/3/1983

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 51

Date: 10/27/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/21/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 4/5/1984

Direct Participation Programs Principal Examination

Current Firm

MCF ADVISORS, LLC

D/B/A MCF | MCF ADVISORS, LLC | D/B/A MCF PRIVATE INVESTMENTS | D/B/A MCF INSTITUTIONAL

CRD#: 130372 / SEC#: 801-62765

RIA

Registered Investment Advisory firm - (2/6/2004 Approved)

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Contact information

Main Address

333 West Vine Street Suite 1740, Lexington, KY 40507

Mailing Address

Phone number

(859) 967-0999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCF FORM ADV PART 2A (10/6/2025)

Regulatory assets under management

Total Number of Accounts	5,193
AUM (Assets Under Management)	$ 3,329,345,692

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/10/2025	Cover Page	Report
01/31/2024	Cover Page	Report
01/11/2023	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.

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Advisor Monitoring

Firm Stability Insights

David L. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lee Harris JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

MCF ADVISORS, LLC

MID CENTRAL FINANCIAL ADVISORS, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

MML INVESTORS SERVICES, LLC

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

INTEGRATED RESOURCES MARKETING, INC.

SHANNON BROOK FARMS, INC.

Primary Firm SEC Registration

MCF ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/16/2003

Series 63

Date: 11/21/1983

Series 7

Date: 1/2/2003

Series 22

Date: 11/3/1983

Series 51

Date: 10/27/2006

Series 24

Date: 1/21/2004

Series 39

Date: 4/5/1984

Current Firm

MCF ADVISORS, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MCF ADVISORS, LLC

TRUST BUT VERIFY

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