EH
Eric Harris
MADISON AVENUE SECURITIES
Beachwood, OH 44122
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CRD#: 1902619
EH
Professional summary
Eric Harris is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Beachwood, Ohio.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Eric has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) NAME OF BUSINESS: NORTH COAST FINANCIAL GROUP POSITION: OWNER (ACTIVE) NATURE: INSURANCE PRODUCT SALES INVESTMENT RELATED: YES NUMBER OF HOURS: 160 INVESTMENT RELATED HOURS: 160 START DATE: 04/01/1999 ADDRESS: 23240 CHARGIN BLVD., SUITE 535 BEACHWOOD OH 44122 DESCRIPTION: OWNER, INSURANCE PRODUCT SALES 2) NAME OF BUSINESS: RENTAL INCOME POSITION: OWNER (ACTIVE) NATURE: REAL ESTATE INVESTMENT RELATED: NO NUMBER OF HOURS: 8 INVESTMENT RELATED HOURS: 0 START DATE: 09/01/2017 ADDRESS: 3673 E. 153rd STREET, CLEVELAND, OH 44120 DESCRIPTION:REAL ESTATE 3) NAME OF BUSINESS: RENTAL INCOME POSITION: OWNER (ACTIVE) NATURE: REAL ESTATE INVESTMENT RELATED: NO NUMBER OF HOURS: 8 INVESTMENT RELATED HOURS: 0 START DATE: 03/01/2018 ADDRESS: 2893 E. 118th STREET, CLEVELAND, OH 44120 DESCRIPTION:REAL ESTATE
CRS (Client Relationship Summary) - RIA
Click below to view Eric Harris's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric 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®
NoneExperience
Current
March 25, 2009 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 23240 Chagrin Blvd., Suite 535, Beachwood, OH 44122RIA
BD
CRD#: 23224
Beachwood, OH
Current
April 24, 2007 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 23240 Chagrin Blvd., Suite 535, Beachwood, OH 44122RIA
BD
CRD#: 23224
Beachwood, OH
Past
June 4, 2007 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
RIA
CRD#: 137461
MAYFIELD HEIGHTS, OH
Past
August 23, 1999 - November 14, 2006
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
MAYFIELD HTS, OH
Past
December 9, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
December 9, 1988 - November 14, 2006
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MAYFIELD HTS, OH
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/2/2015)
RR
Arizona(4/3/2017)
RR
Arkansas(1/2/2015)
RR
California(4/25/2007)
RR
Colorado(1/14/2021)
RR
District of Columbia(11/7/2019)
RR
Florida(2/6/2024)
RR
Georgia(10/15/2009)
RR
Illinois(4/25/2007)
RR
Indiana(2/5/2024)
RR
Kentucky(3/16/2015)
RR
Maryland(4/26/2007)
RR
Michigan(7/25/2007)
RR
New Jersey(1/3/2011)
RR
North Carolina(8/18/2017)
RR
Ohio(6/4/2007)
IAR
Ohio(3/25/2009)
RR
Oklahoma(11/24/2014)
RR
Pennsylvania(6/19/2007)
RR
South Carolina(2/24/2010)
RR
Texas(11/24/2009)
IAR
Texas(1/7/2010)
RR
Virginia(10/22/2008)
RR
West Virginia(2/22/2008)
RR
Wisconsin(3/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
