David S. Harris

WFA OF SAN DIEGO

Wilmington, NC 28403

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CRD#: 1250257

Professional summary

David Scott Harris, who also goes by Dave Harris, David S Harris, is a registered financial advisor currently at WFA OF SAN DIEGO located in Wilmington, North Carolina and ZERMATT WEALTH PARTNERS located in Wilmington, North Carolina.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. David has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Harris | David S Harris

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Scott Harris'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

May 20, 2025 - Present

WFA OF SAN DIEGO

Office #1: 1427 Military Cutoff Rd. Suite 206, Wilmington, NC 28403

RIA

CRD#: 307404

Wilmington, NC

Current

May 20, 2025 - Present

ZERMATT WEALTH PARTNERS

Office #1: 1427 Military Cuttoff Rd Suite 206, Wilmington, NC 28403

RIA

CRD#: 105736

Wilmington, NC

Past

March 27, 2017 - March 19, 2025

MORGAN STANLEY

RIA

CRD#: 149777

Houston, TX

Past

March 22, 2017 - March 19, 2025

MORGAN STANLEY

CRD#: 149777

Houston, TX

Past

July 7, 2015 - September 28, 2016

ARISTOTLE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 109876

CUMMING, GA

Past

December 17, 2014 - September 30, 2016

IMST DISTRIBUTORS, LLC

CRD#: 130745

PORTLAND, ME

Past

June 1, 2009 - September 25, 2014

MORGAN STANLEY

CRD#: 149777

ALPHARETTA, GA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

PURCHASE, NY

Past

January 5, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 20, 2002 - September 10, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 28, 2000 - April 15, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 28, 1996 - April 16, 1998

UAM FUND DISTRIBUTORS, INC.

CRD#: 24364

BOSTON, MA

Past

February 7, 1994 - July 5, 1995

INVESCO DISTRIBUTORS, INC.

CRD#: 289

HOUSTON, TX

Past

May 7, 1984 - May 25, 1988

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

May 7, 1984 - June 2, 1988

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

WFA OF SAN DIEGO

FAT CAT WEALTH | WFA OF SAN DIEGO, LLC | WFA OF SAN DIEGO

CRD#: 307404 / SEC#: 801-118131

RIA

Registered Investment Advisory firm - (2/27/2020 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

North Carolina
(5/20/2025)

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: 4/12/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/17/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/1/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/4/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WFA OF SAN DIEGO

FAT CAT WEALTH | WFA OF SAN DIEGO, LLC | WFA OF SAN DIEGO

CRD#: 307404 / SEC#: 801-118131

RIA

Registered Investment Advisory firm - (2/27/2020 Approved)

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Contact information

Main Address

2251 San Diego Ave Suite B-257, San Diego, CA 92110

Mailing Address

Phone number

(619) 491-0225

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WFA OF SAN DIEGO ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	359
AUM (Assets Under Management)	$ 177,769,277

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 S. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ZERMATT WEALTH PARTNERS

MORGAN STANLEY

MORGAN STANLEY

ARISTOTLE CAPITAL MANAGEMENT, LLC

IMST DISTRIBUTORS, LLC

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

UAM FUND DISTRIBUTORS, INC.

INVESCO DISTRIBUTORS, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

WFA OF SAN DIEGO

State Registrations and Notice Filings

Exams

Series 65

Date: 4/12/2005

Series 63

Date: 5/17/1996

SIE

Date: 10/1/2018

Series 7

Date: 4/1/2003

Series 6

Date: 2/4/1994

Current Firm

WFA OF SAN DIEGO

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WFA OF SAN DIEGO

TRUST BUT VERIFY

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