David L. Harris
HARRIS & ASSOCIATES
Manhattan Beach, CA 90266
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CRD#: 2288252
Professional summary
David Louis Harris PHD, CFP®, who also goes by David Louis Harris, is a registered financial advisor currently at HARRIS & ASSOCIATES located in Manhattan Beach, California and PURSHE KAPLAN STERLING INVESTMENTS located in Manhattan Beach, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. David has worked at 5 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Life Transitions
Business Succession Planning
Inheritance
Investment Planning
Insurance Planning
Retirement Income Management
Estate Planning
Are you a "fiduciary"?
Yes
Aliases
David Louis 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. HARRIS & ASSOCIATES, RIA. INVESTMENT RELATED. 505 N. SEPULVEDA BLVD, SUITE 5. MANHATTAN BEACH, CA 90266. EXECUTIVE BENEFITS, FINANCIAL AND ESTATE PLANNING ADVICE. PRESIDENT. 10/1997. 65 HRS/MO. ASSIST CLIENT COMPANIES TO ATTRACT AND RETAIN TALENT, ASSIST INDIVIDUALS AND PLAN FOR RETIREMENT. 2. PURSHE KAPLAN STERLING INVESTMENTS BD (35747) Investment Related. 80 State Street, Albany, NY, 12207. Variable Insurance and Annuities, Alternative Investments, and other Broker Dealer products and services. Since 2-28-2013. Hours as required during advisory client services at HARRIS & ASSOCIATES. 3. 12/10/2012 - Davris Training Associates (DTA). 505 N. Sepulveda Blvd, Suite 5, Manhattan Beach, CA 90266 - Not Investment-Related; Owner/Senior Consultant; Provide Training for Oral Proposals and Presentation Skills (Specialized Training for CEOs, proporsal terms, sales force development) - HOurs vary from 0 to 23 HRS/MO. 4. Ash Brokerage-Not investment related-888 S. Harrison St., Suite 900, Fort Wayne, IN 46802-Insurance-Agent-3/1/2013-10 hrs/month-50% during securities hrs-Submit applications for life, disability & LTC. 5) Manhattan Beach Community Church, Investment Related, 303 S. Peck Ave, Manhattan Beach, CA 90266, Endowment Fund, Investment Committee Member, Start Date 09/11/2023, 2 Hours/Month Devoted to OBA, 0 Hours/Month During Securities Trading Hours, Work with Committee to Draft Policy Statements and Suggest Direction Given to Fund Manager, United Church Funds. 6) Peak Pro Financial; Investment Related; 7979 E Tufts Ave, Suite 1050, Denver, CO 80237; Insurance Agency; General Agent/Producer; 04/2024; 10 hrs/mo; 2 hrs during trading; Apply and place fixed and index insurance products to consumers who want and need life and tax protection.
CRS (Client Relationship Summary) - RIA
Click below to view David Louis Harris PHD'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®
CFP®
Start date: 2006
Experience
Current
October 31, 1997 - Present
HARRIS & ASSOCIATES
Office #1: 505 N. Sepulveda Blvd. Suite 5, Manhattan Beach, CA 90266RIA
CRD#: 134066
Manhattan Beach, CA
Current
February 28, 2013 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 505 N. Sepulveda Blvd. Suite 5, Manhattan Beach, CA 90266BD
CRD#: 35747
Manhattan Beach, CA
Past
September 8, 2009 - March 11, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
MANHATTAN BEACH, CA
Past
April 13, 1995 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
MANHATTEN BEACH, CA
Past
October 11, 1992 - April 20, 1995
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
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
IAR
California(10/31/1997)
RR
California(2/28/2013)
RR
Florida(9/26/2022)
RR
Missouri(10/24/2023)
RR
Rhode Island(2/16/2024)
RR
Texas(6/26/2019)
IAR
Texas(8/21/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
H&
HARRIS & ASSOCIATES
D.L. HARRIS & ASSOCIATES INSURANCE SERVICES, INC. | TRAINING CONSORTIUM, INC. | HARRIS ASSOCIATES | HARRIS & ASSOCIATES
CRD#: 134066 / SEC#:
California
Registered Investment Advisory firm - (10/31/1997 Approved)Texas
Registered Investment Advisory firm - (8/20/2019 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
505 N. Sepulveda Blvd. Suite 5, Manhattan Beach, CA 90266
Mailing Address
Phone number
(310) 318-3700
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 177 |
| AUM (Assets Under Management) | $ 35,428,103 |
Red Flags
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