David S. Harris
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Scott Harris, who also goes by Dave Harris, David S Harris, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2025 - March 5, 2026
ZERMATT WEALTH PARTNERS
May 20, 2025 - March 5, 2026
WFA OF SAN DIEGO
March 27, 2017 - March 19, 2025
MORGAN STANLEY
March 22, 2017 - March 19, 2025
MORGAN STANLEY
July 7, 2015 - September 28, 2016
ARISTOTLE CAPITAL MANAGEMENT, LLC
December 17, 2014 - September 30, 2016
IMST DISTRIBUTORS, LLC
June 1, 2009 - September 25, 2014
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 5, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
August 20, 2002 - September 10, 2004
UBS FINANCIAL SERVICES INC.
April 28, 2000 - April 15, 2002
WELLS FARGO CLEARING SERVICES, LLC
February 28, 1996 - April 16, 1998
UAM FUND DISTRIBUTORS, INC.
February 7, 1994 - July 5, 1995
INVESCO DISTRIBUTORS, INC.
May 7, 1984 - May 25, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 7, 1984 - June 2, 1988
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
ZERMATT WEALTH PARTNERS
CRD#: 105736 / SEC#: 801-17502
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ZERMATT WEALTH PARTNERS
CRD#: 105736 / SEC#: 801-17502
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 254 |
| AUM (Assets Under Management) | $ 116,022,167 |
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.
