JH
John E. Harris
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Dallas, TX
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CRD#: 2247071
JH
Professional summary
John Edward Harris, who also goes by John E Harris, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Dallas, Texas.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. John has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John E 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) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 02/03/20. 2) THE ADMIRAL NIMITZ FOUNDATION, 311 E AUSTIN ST, FREDERICKSBURG, TX, BOARD MEMBER OF A NON-PUBLIC ENTITY, DIRECTOR, CHAIR OF THE INVESTMENT COMMITTEE, 01/15/08, NIR, 5/MO- 5/TRADING 3)PEACEABLE LP, 386 PEACEABLE RD, FREDERICKSBURG, TX, FAMILY LIMITED PARTNERSHIP, 09/21/05, INV REL, 10/YR- 0/TRADING 4) TEXAS CHRISTIAN UNIVERSITY, 800 S UNIVERSITY DRIVE, FT WORTH, TX, ADJUNCT PROFESSOR, 04/01/20, NIR, 20/YR- 0/TRADING 5)AMERICAN LOCKER GROUP, 4170-103 DISTRIBUTION CIRCLE, NORTH LAS VEGAS, NV, SHAREHOLDER OF AN INACTIVE PUBLIC SHELL, 05/15/04, NIR, 0/YR- 0/TRADING 6) HARRIS CAPITAL ADVISORS, LLC, 3804 HAWTHORNE AVE, DALLAS, TX, PRINCIPAL AND MANAGING MEMBER LLC, 05/15/98, INV REL, 160 MO- 0/TRADING 7) PEACEABLE MANAGEMENT, LLC 386 PEACEABLE ROAD, FREDERICKSBURG, TX, FAMILY LIMITED PARTNERSHIP GENERAL PARTNER, MEMBER, INV REL, 09/21/05. 5/MO- 0/TRADING 8) WATERLOO CAPITAL, LLC, 25 HIGHLAND PARK, STE 100-868, DALLAS, TX, LLC FOR INVESTMENT PURPOSES, 11/01/19, INV REL, 45 HR/MO- 1-2 HR/TRADING HR. 9) BROTHERS CABINETRY COMPANY, 9224 KING ARTHUR DRIVE, DALLAS, TX, CABINET MANUFACTURING COMPANY, 08/15/18, NIR, 10 HR/MO- 0/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view John Edward 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
February 3, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Dallas, TX
Past
February 3, 2020 - February 3, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
CORPUS CHRISTI, TX
Past
September 6, 2018 - February 12, 2020
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
DALLAS, TX
Past
August 24, 2018 - February 12, 2020
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
DALLAS, TX
Past
September 21, 2012 - May 31, 2018
BOK FINANCIAL SECURITIES, INC.
RIA
CRD#: 17530
DALLAS, TX
Past
August 17, 1994 - November 21, 1996
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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(2/3/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
