David S. Harris

HARRIS INVESTMENT ADVISORS

Scottsdale, AZ 85251

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CRD#: 1618282

Professional summary

David Seth Harris is a registered financial advisor currently at HARRIS INVESTMENT ADVISORS LLC located in Scottsdale, Arizona and ALTERNATIVE INVESTMENT ADVISORS, LLC located in Scottsdale, Arizona.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. David has worked at 12 firms and has passed the Series 63, Series 65 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 David Seth 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

March 20, 2002 - Present

HARRIS INVESTMENT ADVISORS LLC

Office #1: 6991 E Camelback Rd Ste D300, Scottsdale, AZ 85251

RIA

CRD#: 118857

Scottsdale, AZ

Current

June 13, 2025 - Present

ALTERNATIVE INVESTMENT ADVISORS, LLC

Office #1: 6991 E Camelback Rd., Ste D300, Scottsdale, AZ 85251

RIA

CRD#: 336212

SCOTTSDALE, AZ

Past

March 10, 2017 - October 16, 2024

CORNERSTONE REGISTERED INVESTMENT ADVISORS

RIA

CRD#: 285308

SCOTTSDALE, AZ

Past

February 9, 2009 - April 21, 2010

LIGHTHOUSE CAPITAL CORPORATION

CRD#: 41812

MONTEREY, CA

Past

November 26, 2008 - January 27, 2009

CHELSEA FINANCIAL SERVICES

CRD#: 47770

STATEN ISLAND, NY

Past

October 30, 2008 - March 2, 2009

ASCHER/DECISION SERVICES, INC.

CRD#: 10034

SAN MARINO, CA

Past

January 14, 2008 - April 15, 2008

MAUL CAPITAL MANAGEMENT

RIA

CRD#: 108737

SCOTTSDALE, AZ

Past

November 14, 2007 - April 16, 2008

MCM FINANCIAL CORP.

CRD#: 47919

LAS VEGAS, NV

Past

November 6, 2002 - November 14, 2005

CFD INVESTMENTS, INC.

CRD#: 25427

KOKOMO, IN

Past

April 26, 1993 - December 4, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 19, 1990 - May 14, 1993

OLD KENT FINANCIAL ADVISORS

CRD#: 17039

GRAND RAPIDS, MI

Past

February 24, 1987 - August 1, 1989

UNIBANC BROKERAGE SERVICES, INC.

CRD#: 17712

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

Arizona
(1/4/2006)

IAR

California
(4/7/2023)

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: 11/13/2002

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/19/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 11/5/2002

General Securities Representative Examination

Current Firm

HARRIS INVESTMENT ADVISORS LLC

HARRIS INVESTMENT ADVISORS | HARRIS INVESTMENT ADVISORS LLC

CRD#: 118857 / SEC#:

Arizona

Registered Investment Advisory firm - (1/4/2006 Approved)

California

Registered Investment Advisory firm - (4/7/2023 Approved)

Illinois

Registered Investment Advisory firm - (12/3/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

6991 E Camelback Rd Ste D300, Scottsdale, AZ 85251

Mailing Address

Phone number

(480) 659-8380

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	87
AUM (Assets Under Management)	$ 27,500,000

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 Seth Harris's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARRIS INVESTMENT ADVISORS LLC

ALTERNATIVE INVESTMENT ADVISORS, LLC

CORNERSTONE REGISTERED INVESTMENT ADVISORS

LIGHTHOUSE CAPITAL CORPORATION

CHELSEA FINANCIAL SERVICES

ASCHER/DECISION SERVICES, INC.

MAUL CAPITAL MANAGEMENT

MCM FINANCIAL CORP.

CFD INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

OLD KENT FINANCIAL ADVISORS

UNIBANC BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/13/2002

Series 65

Date: 3/19/1994

Series 7

Date: 11/5/2002

Current Firm

HARRIS INVESTMENT ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HARRIS INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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