Michael K. 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.
Michael Keith Harris SR, who also goes by Michael Keith Harris, Mike Harris, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2018 - December 31, 2019
RIVER WEALTH MANAGEMENT, LLC
January 11, 2016 - December 31, 2017
RIVER WEALTH MANAGEMENT, LLC
June 10, 2014 - December 31, 2015
RIVER WEALTH MANAGEMENT, LLC
March 12, 2010 - May 13, 2014
INDEPENDENT FINANCIAL PARTNERS
March 9, 2010 - May 28, 2014
LPL FINANCIAL LLC
March 21, 2007 - February 9, 2010
EDWARD JONES
June 2, 2004 - February 9, 2010
EDWARD JONES
May 25, 1988 - October 24, 1988
IDS LIFE INSURANCE COMPANY
May 25, 1988 - October 24, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RIVER WEALTH MANAGEMENT, LLC
CRD#: 170781 / SEC#:
Contact information
Red Flags
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