Brian R. Harris

HARRIS WEALTH MANAGEMENT

Ventura, CA

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CRD#: 4175422

Professional summary

Brian Richard Harris, CFA is a registered financial advisor currently at HARRIS WEALTH MANAGEMENT located in Ventura, California.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Brian has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Harris Mortgage 8224 Medford Street, Ventura, CA 93004 Mortgage Broker 09/01/2018 - PRESENT WORK APPROXIMATELY 40 HOURS PER WEEK, SO 170 HOURS PER MONTH. I DEDICATE the majority of MY TIME TO OTHER BUSINESS ACTIVITIES DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Richard 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®

CFA

Chartered Financial Analyst

Experience

Current

June 20, 2014 - Present

HARRIS WEALTH MANAGEMENT

RIA

CRD#: 169810

Ventura, CA

Past

January 26, 2011 - June 3, 2014

GLOBALMACRO CAPITAL MANAGEMENT, LLC

RIA

CRD#: 153819

WESTLAKE VILLAGE, CA

Past

August 24, 2010 - December 31, 2010

GLOBALMACRO CAPITAL MANAGEMENT, LLC

RIA

CRD#: 153819

WHEATON, IL

Past

December 6, 2006 - April 16, 2010

WEST COAST ASSET MANAGEMENT,INC.

RIA

CRD#: 111982

MONTECITO, CA

Past

January 7, 2005 - July 17, 2006

A&M INVESTMENT MANAGEMENT

RIA

CRD#: 125126

SAN DIEGO, CA

Past

October 16, 2000 - October 9, 2001

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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.

Highlighted states indicate IAR registrations

IAR

California
(6/20/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/6/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/12/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/9/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/13/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HARRIS WEALTH MANAGEMENT

BRIAN HARRIS INC. | OLD OAK WEALTH MANAGEMENT | HARRIS WEALTH MANAGEMENT

CRD#: 169810 / SEC#:

California

Registered Investment Advisory firm - (6/19/2014 Approved)

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Contact information

Main Address

Ventura, CA

Mailing Address

8224 Medford St., Ventura, CA 93004

Phone number

(805) 827-4612

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 13,031,667

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Brian R. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Richard Harris's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARRIS WEALTH MANAGEMENT

GLOBALMACRO CAPITAL MANAGEMENT, LLC

GLOBALMACRO CAPITAL MANAGEMENT, LLC

WEST COAST ASSET MANAGEMENT,INC.

A&M INVESTMENT MANAGEMENT

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/6/2005

Series 63

Date: 12/12/2000

Series 7

Date: 4/9/2001

Series 6

Date: 10/13/2000

Current Firm

HARRIS WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HARRIS WEALTH MANAGEMENT

TRUST BUT VERIFY

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