SH
Scott C. Harris
LARSON FINANCIAL GROUP
Santa Rosa, CA 95409
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CRD#: 2516998
SH
Professional summary
Scott Clayton Harris, AIF®, who also goes by Scott Clayton Harris, is a registered financial advisor currently at LARSON FINANCIAL GROUP, LLC located in Santa Rosa, California and LARSON FINANCIAL SECURITIES, LLC located in Santa Rosa, California.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Scott has worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Clayton 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. 09/01/2006 - OAKMONT FINANCIAL GROUP, LLC - At Reported Business Location(s) - Non-Variable Insurance DBA - Time Spent 8 hours per month, Time spent during trading hours 8 hours per month - SELL FIXED INSURANCE PRODUCTS INCLUDING LIFE, DISABILITY, LONG TERM CARE, AND HEALTH INSURANCE. 2. 05/01/2024 - Oakmont Financial Group, LLC - Investment Related - At Reported Business Location(s) - DBA for Larson Financial Group, LLC - Started 05/01/2024 - 160 Hours Per Month/100 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Clayton 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®
Experience
Current
February 2, 2024 - Present
LARSON FINANCIAL GROUP, LLC
Office #1: 6580 Oakmont Drive Suite B, Santa Rosa, CA 95409RIA
CRD#: 140599
Santa Rosa, CA
Current
March 4, 2024 - Present
LARSON FINANCIAL SECURITIES, LLC
Office #1: 6580 Oakmont Drive Suite B, Santa Rosa, CA 95409BD
CRD#: 152517
Santa Rosa, CA
Past
July 6, 2020 - May 16, 2024
INTRUA FINANCIAL
RIA
CRD#: 281554
Santa Rosa, CA
Past
February 15, 2017 - July 31, 2020
GOLDEN STATE WEALTH MANAGEMENT, LLC
RIA
CRD#: 167995
Santa Rosa, CA
Past
July 23, 2007 - June 1, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
SANTA ROSA, CA
Past
September 1, 2006 - July 24, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
SANTA ROSA, CA
Past
February 12, 1998 - September 12, 2006
EDWARD JONES
BD
CRD#: 250
SANTA ROSA, CA
Past
July 22, 1994 - March 5, 1998
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
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".
LF
LARSON FINANCIAL GROUP, LLC
LARSON FINANCIAL GROUP, LLC | WORK OPTIONAL | THE PHYSICIANS THRIVE | OAKMONT FINANCIAL GROUP | MIDWEST WEALTH MANAGEMENT | LIONSGATE ADVISORS
CRD#: 140599 / SEC#: 801-71543
RIA
Registered Investment Advisory firm - (6/23/2010 Approved)Florida
Registered Investment Advisory firm - (6/30/2010 Terminated)Indiana
Registered Investment Advisory firm - (6/30/2010 Terminated)Kansas
Registered Investment Advisory firm - (6/30/2010 Terminated)Kentucky
Registered Investment Advisory firm - (6/30/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/1/2010 Terminated)Missouri
Registered Investment Advisory firm - (6/30/2010 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2010 Terminated)Tennessee
Registered Investment Advisory firm - (7/30/2010 Terminated)Texas
Registered Investment Advisory firm - (6/30/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (6/30/2010 Terminated)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
Arizona(7/31/2024)
IAR
California(2/2/2024)
RR
California(6/27/2024)
IAR
Texas(2/11/2025)
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
LF
LARSON FINANCIAL GROUP, LLC
LARSON FINANCIAL GROUP, LLC | WORK OPTIONAL | THE PHYSICIANS THRIVE | OAKMONT FINANCIAL GROUP | MIDWEST WEALTH MANAGEMENT | LIONSGATE ADVISORS
CRD#: 140599 / SEC#: 801-71543
RIA
Registered Investment Advisory firm - (6/23/2010 Approved)Florida
Registered Investment Advisory firm - (6/30/2010 Terminated)Indiana
Registered Investment Advisory firm - (6/30/2010 Terminated)Kansas
Registered Investment Advisory firm - (6/30/2010 Terminated)Kentucky
Registered Investment Advisory firm - (6/30/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/1/2010 Terminated)Missouri
Registered Investment Advisory firm - (6/30/2010 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2010 Terminated)Tennessee
Registered Investment Advisory firm - (7/30/2010 Terminated)Texas
Registered Investment Advisory firm - (6/30/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (6/30/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 N Broadway Suite 1700, Saint Louis, MO 63102
Mailing Address
Phone number
(866) 569-2450
Established
Firm type
Fiscal year end
# of Employees
115
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24,504 |
| AUM (Assets Under Management) | $ 4,032,736,835 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/08/2024 | ||
| 12/13/2023 | ||
| 01/03/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LARSON FINANCIAL GROUP, LLC
CRD#: 140599Santa Rosa, CA 95409TRUST BUT VERIFY
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