FH
Frederick Harris
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CRD#: 2775162
FH
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frederick Harris, ChFC®, who also goes by Frederick Bannister Harris, Derick Harris, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1996. Frederick had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Frederick Bannister Harris | Derick 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. Judge Memorial Catholic High School; Non-Investment Related; Salt Lake City, UT; Catholic High School, Learning Resource Teacher/Assistant Coach, coach boys lacrosse and Procter/teach the resource center. Start 11-16-2020, 11-20 hours/month during non trading hours, 21-40 hours/month during trading hours. 2. Fixed Insurance DBA Doleman Wealth Management; Non-Investment Related; Denver, CO; Fixed Insurance; Fixed Insurance Agent; 2/2020; 20-30% during business hours; Fixed insurance agent for Allegis Advisor Group, determining and using appropriate insurance vehicles to meet my clients needs 4. Fair Split Financial; Non-Investment Related; Salt Lake City, UT; Professional Services; President/Owner; Work with Divorcees and the financial aspect of the process, splitting of assets, support, etc. Start date 08/03/2023, 40+ hours during non trading hours, 21-40 hours/month during trading hours. 5. Doleman Wealth Management, Investment Related, Registered Representative, 01/2020. assisting with financial solutions. 40 hours full time. 6) Doleman Wealth Insurance Services, Investment Related, Lakewood CO, Insurance Agent, find appropriate insurance solutions for our insurance clients which can include, life insurance, fixed annuities, disability and long term care insurance. Start date 01/20/2020 6-10 hours/month during non- trading hours, 6-10 hours during trading hours. 7) The Insurance Loft, Investment related, Greenwood Village CO, Insurance Agent, help referred clients to find appropriate fixed insurance solutions, mostly life insurance, but occasionally, long term care or disability insurance. Start date 05/17/2021, 6-10 hours/month during non trading hours, 1-5 hours/month during trading hours.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
May 22, 2023 - October 9, 2025
PORTSIDE WEALTH GROUP, LLC
RIA
CRD#: 325175
Lakewood, CO
Past
May 18, 2023 - October 31, 2024
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
Salt Lake City, UT
Past
February 11, 2020 - June 15, 2023
TOWNSQUARE CAPITAL, LLC
RIA
CRD#: 288576
Salt Lake City, UT
Past
February 11, 2020 - May 17, 2023
DFPG INVESTMENTS, LLC
BD
CRD#: 155576
Salt Lake City, UT
Past
September 6, 2016 - July 12, 2018
ALLEGIS INVESTMENT ADVISORS, LLC
RIA
CRD#: 157314
South Jordan, UT
Past
January 9, 2015 - March 28, 2019
ALLEGIS INVESTMENT SERVICES, LLC
BD
CRD#: 168557
SOUTH JORDAN, UT
Past
April 3, 2006 - January 9, 2014
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
HARTFORD, CT
Past
March 11, 2002 - April 7, 2006
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
July 29, 1996 - June 7, 2000
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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".
PW
PORTSIDE WEALTH GROUP, LLC
ALIGNMENT FINANCIAL ADVISORS | VITAL RETIREMENT | VISION TREE FINANCIAL ADVISORS | TWF WEALTH MANAGEMENT | TURNING POINT FINANCIAL GROUP | TRUROCK WEALTH | SUNCREST ADVISORS | SMART FINANCIAL | SEYMOUR FINANCIAL | SCOTT STEPHAN IFS | PORTSIDE WEALTH GROUP, LLC | PODUNK FINANCIAL | OXFORD WEALTH ADVISORS | OXFORD FINANCIAL GROUP | MCKELL PARTNERS | LEGACY WEALTH INVESTMENT COUNSEL | JOHNSTONROGERS | JEFFREY R WANGSGARD AND ASSOCIATES | HURST FINANCIAL CONSULTING | HUDSON OAKS WEALTH MANAGEMENT | GREEN STREET WEALTH ADVISORS | FRONTIER ADVISOR GROUP | FINANCIAL FOUNDATIONS | DOLEMAN WEALTH MANAGEMENT | CAPITAL PROTECTION INSURANCE | CANYON STRATEGIC WEALTH GROUP | CACHE FINANCIAL | BRIGHTSIDE WEALTH MANAGEMENT | BREVITY WEALTH SOLUTIONS | AVENTUS WEALTH
CRD#: 325175 / SEC#: 801-127529
RIA
Registered Investment Advisory firm - (3/24/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PW
PORTSIDE WEALTH GROUP, LLC
ALIGNMENT FINANCIAL ADVISORS | VITAL RETIREMENT | VISION TREE FINANCIAL ADVISORS | TWF WEALTH MANAGEMENT | TURNING POINT FINANCIAL GROUP | TRUROCK WEALTH | SUNCREST ADVISORS | SMART FINANCIAL | SEYMOUR FINANCIAL | SCOTT STEPHAN IFS | PORTSIDE WEALTH GROUP, LLC | PODUNK FINANCIAL | OXFORD WEALTH ADVISORS | OXFORD FINANCIAL GROUP | MCKELL PARTNERS | LEGACY WEALTH INVESTMENT COUNSEL | JOHNSTONROGERS | JEFFREY R WANGSGARD AND ASSOCIATES | HURST FINANCIAL CONSULTING | HUDSON OAKS WEALTH MANAGEMENT | GREEN STREET WEALTH ADVISORS | FRONTIER ADVISOR GROUP | FINANCIAL FOUNDATIONS | DOLEMAN WEALTH MANAGEMENT | CAPITAL PROTECTION INSURANCE | CANYON STRATEGIC WEALTH GROUP | CACHE FINANCIAL | BRIGHTSIDE WEALTH MANAGEMENT | BREVITY WEALTH SOLUTIONS | AVENTUS WEALTH
CRD#: 325175 / SEC#: 801-127529
RIA
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Contact information
Main Address
3507 N University Ave Suite 150, Provo, UT 84604
Mailing Address
Phone number
(385) 412-1222
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,507 |
| AUM (Assets Under Management) | $ 1,125,318,236 |
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.
