Elliot Harris
Professional Summary
Elliot Harris was a registered financial advisor. Elliot was a previously registered financial advisor and started their career in finance 1994 - 2010. Elliot had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
32 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
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Contact Information
Main Address
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339Phone Number
(800) 720-4003Established
Florida since 12/31/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
2,530Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | MEMBER | — |
| CHAFFEE, HAROLD GERARD | VP, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| NORTHRIP, IRYNA YAKOVLEVNA | SVP, CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| ROSENTHAL, JEFFREY LIN | CEO/PRESIDENT AND DIRECTOR | 2474795 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory Assets Under Management
Total Number of Accounts
4,228AUM (Assets Under Management)
$1,106,198,778Disclosures
Regulatory Event
8Arbitration
5Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2002About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
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