Robert R. Harris

HARRIS FINANCIAL SERVICES

OSHKOSH, WI 54902

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CRD#: 1337008

Professional summary

Robert Richard Harris is a registered financial advisor currently at HARRIS FINANCIAL SERVICES, INC. located in Oshkosh, Wisconsin.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Robert has worked at 5 firms and has passed the Series 63 and Series 7 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Richard Harris'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

January 2, 1988 - Present

HARRIS FINANCIAL SERVICES, INC.

Office #1: 420 S. Koeller Street Suite 214, Oshkosh, WI 54902

RIA

CRD#: 113275

OSHKOSH, WI

Past

December 20, 1995 - November 13, 1998

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

May 16, 1988 - December 20, 1995

WFG SECURITIES CORPORATION

CRD#: 13169

MIDDLETON, WI

Past

August 29, 1986 - December 19, 1989

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

Past

July 26, 1985 - May 20, 1988

CARL M. HENNIG, INC.

CRD#: 140

Past

May 6, 1985 - December 19, 1989

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

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

Wisconsin
(1/2/1988)

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

Series 63

Date: 6/27/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/16/1985

General Securities Representative Examination

Current Firm

HARRIS FINANCIAL SERVICES, INC.

CRD#: 113275 / SEC#:

Wisconsin

Registered Investment Advisory firm - (10/14/1987 Approved)

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Contact information

Main Address

382 S. Koeller Street, Oshkosh, WI 54902

Mailing Address

Phone number

(920) 236-6598

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	54
AUM (Assets Under Management)	$ 40,000,000

Red Flags

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Robert R. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Richard Harris's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARRIS FINANCIAL SERVICES, INC.

THE O.N. EQUITY SALES COMPANY

WFG SECURITIES CORPORATION

HORNOR, TOWNSEND & KENT, LLC

CARL M. HENNIG, INC.

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/1985

Series 7

Date: 3/16/1985

Current Firm

HARRIS FINANCIAL SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HARRIS FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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