DH
David M. Harris
CORIENT
Houston, TX 77019
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CRD#: 1458891
DH
Professional summary
David Michael Harris, CIMA® is a registered financial advisor currently at CORIENT located in Houston, Texas.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. David has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 15, Series 3, Series 5 and Series 24 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.
1) RENTAL PROPERTY, NOT INVESTMENT-RELATED, FOUR SEASONS PUNTA MITA, OWNER, START DATE 06/2016, DEVOTE 0 HOURS TO THIS ACTIVITY, LANDLORD. 2) US Capital Wealth Advisors, LLC; Investment-related; Houston, TX; Registered Investment Advisor; senior managing director; 06/2021; >1 hour/month; 1-8 during trading hours; advisor 3) USCA Asset Management LLC; Investment-related; Houston,TX; Registered Investment Advisor; portfolio manager; fund manager; 4/9/2015;>1 hour/month; fund manager
CRS (Client Relationship Summary) - RIA
Click below to view David Michael 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®
Experience
Current
January 25, 2024 - Present
CORIENT
Office #1: 2929 Allen Parkway L14-80, Houston, TX 77019RIA
CRD#: 319448
Houston, TX
Past
June 30, 2021 - October 4, 2023
U.S. CAPITAL WEALTH ADVISORS, LLC
RIA
CRD#: 288199
AUSTIN, TX
Past
April 9, 2015 - October 5, 2023
USCA ASSET MANAGEMENT LLC
RIA
CRD#: 137045
HOUSTON, TX
Past
January 3, 2011 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
HOUSTON, TX
Past
December 2, 2010 - October 4, 2023
USCA SECURITIES LLC
BD
CRD#: 103789
HOUSTON, TX
Past
April 30, 2004 - December 6, 2010
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
April 30, 2004 - December 6, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HOUSTON, TX
Past
May 22, 1989 - May 13, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
HOUSTON, TX
Past
May 22, 1989 - May 13, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 11, 1986 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
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".
CO
CORIENT
BALASA DINVERNO & FOLTZ | WINDSOR WEALTH MANGMENT | RGT WEALTH ADVISORS | REGENTATLANTIC | R.H. BLUESTEIN & CO | PORTOLA PARTNERS GROUP | PORTOLA PARTNERS | NTERCONTINENTAL WEALTH ADVISORS | MCCUTCHEN WEALTH MANAGEMENT | MCCUTCHEN GROUP | MATRIX CAPITAL ADVISORS | GOFEN AND GLOSSBERG | GALAPAGOS WEALTH MANAGEMENT | DOYLE WEALTH MANAGEMENT | DOWLING & YAHNKE WEALTH ADVISORS | CORIENT PRIVATE WEALTH LLC | CORIENT CAPITAL PARTNERS | CORIENT | CI SUREVEST PRIVATE WEALTH | CI STAVIS & COHEN PRIVATE WEALTH | CI SEGALL BRYANT & HAMILL PRIVATE WEALTH | CI ROOSEVELT PRIVATE WEALTH | CI RGT PRIVATE WEALTH | CI REGENTATLANTIC PRIVATE WEALTH | CI RADNOR PRIVATE WEALTH | CI PRIVATE WEALTH, LLC | CI PRIVATE WEALTH | CI PORTOLA PRIVATE WEALTH | CI MCCUTCHEN PRIVATE WEALTH | CI MATRIX PRIVATE WEALTH | CI KORE PRIVATE WEALTH | CI INVERNESS PRIVATE WEALTH | CI GOFEN & GLOSSBERG PRIVATE WEALTH | CI GALAPAGOS PRIVATE WEALTH | CI EATON PRIVATE WEALTH | CI DOYLE PRIVATE WEALTH | CI DOWLING & YAHNKE PRIVATE WEALTH | CI CORIENT PRIVATE WEALTH | CI COLUMBIA PACIFIC PRIVATE WEALTH | CI BUDROS RUHLIN ROE PRIVATE WEALTH | CI BRIGHTWORTH PRIVATE WEALTH | CI BOWLING PRIVATE WEALTH | CI BLUESTEIN PRIVATE WEALTH | CI BDF PRIVATE WEALTH | CI BDF | CI BARRETT PRIVATE WEALTH | CI AVALON PRIVATE WEALTH | BUDROS, RUHLIN & ROE | BRR | BOWLING PORTFOLIO MANGEMENT
CRD#: 319448 / SEC#: 801-124978
RIA
Registered Investment Advisory firm - (5/12/2022 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
Texas(1/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 4/10/1986
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 2/25/1986
Interest Rate Options ExaminationPrincipal/Supervisory Exam
Current Firm
CO
CORIENT
BALASA DINVERNO & FOLTZ | WINDSOR WEALTH MANGMENT | RGT WEALTH ADVISORS | REGENTATLANTIC | R.H. BLUESTEIN & CO | PORTOLA PARTNERS GROUP | PORTOLA PARTNERS | NTERCONTINENTAL WEALTH ADVISORS | MCCUTCHEN WEALTH MANAGEMENT | MCCUTCHEN GROUP | MATRIX CAPITAL ADVISORS | GOFEN AND GLOSSBERG | GALAPAGOS WEALTH MANAGEMENT | DOYLE WEALTH MANAGEMENT | DOWLING & YAHNKE WEALTH ADVISORS | CORIENT PRIVATE WEALTH LLC | CORIENT CAPITAL PARTNERS | CORIENT | CI SUREVEST PRIVATE WEALTH | CI STAVIS & COHEN PRIVATE WEALTH | CI SEGALL BRYANT & HAMILL PRIVATE WEALTH | CI ROOSEVELT PRIVATE WEALTH | CI RGT PRIVATE WEALTH | CI REGENTATLANTIC PRIVATE WEALTH | CI RADNOR PRIVATE WEALTH | CI PRIVATE WEALTH, LLC | CI PRIVATE WEALTH | CI PORTOLA PRIVATE WEALTH | CI MCCUTCHEN PRIVATE WEALTH | CI MATRIX PRIVATE WEALTH | CI KORE PRIVATE WEALTH | CI INVERNESS PRIVATE WEALTH | CI GOFEN & GLOSSBERG PRIVATE WEALTH | CI GALAPAGOS PRIVATE WEALTH | CI EATON PRIVATE WEALTH | CI DOYLE PRIVATE WEALTH | CI DOWLING & YAHNKE PRIVATE WEALTH | CI CORIENT PRIVATE WEALTH | CI COLUMBIA PACIFIC PRIVATE WEALTH | CI BUDROS RUHLIN ROE PRIVATE WEALTH | CI BRIGHTWORTH PRIVATE WEALTH | CI BOWLING PRIVATE WEALTH | CI BLUESTEIN PRIVATE WEALTH | CI BDF PRIVATE WEALTH | CI BDF | CI BARRETT PRIVATE WEALTH | CI AVALON PRIVATE WEALTH | BUDROS, RUHLIN & ROE | BRR | BOWLING PORTFOLIO MANGEMENT
CRD#: 319448 / SEC#: 801-124978
RIA
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Contact information
Main Address
830 Brickell Plaza Suite 4800, Miami, FL 33131
Mailing Address
830 Brickell Plaza Suite 4800, Miami, FL 33131
Phone number
(305) 735-2020
Established
Firm type
Fiscal year end
# of Employees
1,181
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 109,685 |
| AUM (Assets Under Management) | $ 143,628,532,902 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/28/2024 | ||
| 10/27/2023 | ||
| 05/03/2023 |
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.
