Roger K. Harris
Professional summary
Roger Kent Harris is a registered financial advisor currently at R. KENT HARRIS AND ASSOCIATES, LTD. located in Denver, Colorado and KESTRA INVESTMENT SERVICES, LLC located in Greenwood Village, Colorado.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Roger has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Roger Kent Harris's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 1, 1999 - Present
R. KENT HARRIS AND ASSOCIATES, LTD.
Office #1: 1777 S. Harrison St. Suite 102, Denver, CO 80210June 22, 1999 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5655 S. Yosemite St. Suite 320, Greenwood Village, CO 80111July 31, 1996 - June 22, 1999
OSAIC WEALTH, INC.
September 2, 1993 - August 10, 1996
METROPOLITAN LIFE INSURANCE COMPANY
September 2, 1993 - August 10, 1996
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/19/1999)
(7/23/1999)
(1/21/2010)
(1/1/1999)
(6/22/1999)
(3/27/2020)
(9/10/1999)
(10/3/2000)
(6/25/1999)
(5/23/2002)
(11/28/2005)
(8/20/2012)
(8/19/1999)
(10/25/2005)
(1/25/2024)
(1/4/2000)
(1/18/2007)
(4/28/2000)
(1/5/2000)
(7/12/2010)
(4/24/2015)
(10/26/2005)
(8/20/1999)
(9/25/2003)
(3/5/2001)
(3/5/2014)
(1/3/2000)
(12/17/2007)
(8/26/2008)
(12/20/2005)
(3/20/2020)
(7/6/2016)
Exams
FINRA
Current Firm
R. KENT HARRIS AND ASSOCIATES, LTD.
CRD#: 112707 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 222 |
| AUM (Assets Under Management) | $ 56,608,571 |
Red Flags
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