Barry L. Harris

HARRIS WEALTH ADVISORS

Austin, TX

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CRD#: 1781727

Professional summary

Barry Lee Harris, who also goes by Barry L Harris, is a registered financial advisor currently at HARRIS WEALTH ADVISORS, LLC located in Austin, Texas.

Barry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Barry has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Barry L 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.

1. INSURANCE LICENSED AGENT; INVESTMENT-RELATED; DEVOTES A MINIMAL AMOUNT OF TIME TOWARDS THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Lee Harris's CRS (Customer Relationship Summary).

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

AUSTIN, TX

Past

June 19, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

AUSTIN, TX

Past

April 17, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

AUSTIN, TX

Past

February 6, 2007 - January 30, 2009

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

LAKEWAY, TX

Past

January 1, 1991 - January 17, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

AUSTIN, TX

Past

January 1, 1991 - January 17, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 19, 1989 - January 1, 1991

ROTAN MOSLE INC.

CRD#: 727

Past

December 22, 1987 - July 24, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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
(2/22/2021)

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: 6/8/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/6/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/19/1987

General Securities Representative Examination

Current Firm

HARRIS WEALTH ADVISORS, LLC

CRD#: 170938 / SEC#: 801-79460

RIA

Registered Investment Advisory firm - (9/9/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/22/2021 Approved)

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

Austin, TX

Mailing Address

Phone number

(512) 673-7934

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	35
AUM (Assets Under Management)	$ 7,168,600

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

Barry L. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Lee Harris's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARRIS WEALTH ADVISORS, LLC

HARRIS WEALTH ADVISORS, LLC

HARRIS WEALTH ADVISORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

BBVA COMPASS INVESTMENT SOLUTIONS, INC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

ROTAN MOSLE INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/2009

Series 63

Date: 1/6/1988

Series 7

Date: 12/19/1987

Current Firm

HARRIS WEALTH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HARRIS WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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