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RICHARD WILLIAM HARRIS

RICHARD W. HARRIS

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CRD#: 4608142
RICHARD WILLIAM HARRIS

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.

RICHARD WILLIAM HARRIS, who also goes by Richard Harris, was a registered financial professional .

RICHARD is a previously registered financial professional and started their career in finance in 2002. RICHARD had worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Biography

Rick is a Principal in the firm’s Retirement Plan Services Group, primarily serving the retirement plan needs of the private/higher education community. With his vast industry knowledge and previous work as a college professor, Rick has distinct insights and expertise for serving this unique client segment. Prior to joining Cerity Partners, Rick was a Senior ERISA Consultant with Blue Prairie Group and served as the firm’s Higher Education/Nonprofit 403(b) Practice Leader. He also worked for CFP, Inc. as a fiduciary consultant for the 403(b)/401(k) plans of their private college and university clients. Before entering the financial services industry in 2002, Rick served on the faculties of several different institutions of higher education, including Bradley University (Peoria, IL), Bowling Green State University (Bowling Green, OH), and Bluffton University (Bluffton, OH). Because of his experience and expertise with college and university 403(b) plans and fees, Rick has been asked to serve as an expert witness for several class-action lawsuits involving a number of well-known universities.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard 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.
The advisor shows no other business activity.

Blog Corner

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®
None

Education

Bowling Green State University in Ohio

the University of Idaho

Experience

Past

April 26, 2019 - May 1, 2025

CERITY PARTNERS RETIREMENT PLAN CONSULTANTS

RIA
CRD#: 164198
CHICAGO, IL
Past

April 24, 2015 - April 8, 2019

BLUE PRAIRIE GROUP,LLC

RIA
CRD#: 131802
CHICAGO, IL
Past

August 29, 2005 - April 15, 2015

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
SALEM, OR
Past

August 29, 2005 - April 15, 2015

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
SALEM, OR
Past

April 17, 2003 - August 29, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SALEM, OR
Past

December 20, 2002 - August 29, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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".
CP
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
CERITY PARTNERS | RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC | RETIREMENT PLAN ADVISORS | PENSION ARCHITECTS | CERITY PARTNERS RETIREMENT PLAN CONSULTANTS | CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC | CERITY PARTNERS RETIREMENT PLAN ADVISORS

CRD#: 164198 / SEC#: 801-76705

RIA
Registered Investment Advisory firm - (5/29/2012 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
RR
IAR
Series 66
Date: 1/7/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/15/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/28/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/2002
General Securities Representative Examination

Current Firm

CP
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS
CERITY PARTNERS | RETIREMENT PLAN ADVISORS AN HPM PARTNERS MEMBER FIRM LLC | RETIREMENT PLAN ADVISORS | PENSION ARCHITECTS | CERITY PARTNERS RETIREMENT PLAN CONSULTANTS | CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC | CERITY PARTNERS RETIREMENT PLAN ADVISORS

CRD#: 164198 / SEC#: 801-76705

RIA
Registered Investment Advisory firm - (5/29/2012 Approved)
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Contact information

Main Address
99 Park Avenue 16th Floor, New York, NY 10016
Mailing Address
Phone number
(212) 850-4260
Established
Firm type
Fiscal year end
# of Employees
87

SEC notice filing (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

RPA ADV PART 2A (9/18/2025)

Regulatory assets under management

Total Number of Accounts622
AUM (Assets Under Management)$ 18,953,321,052

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.

Company Information

CERITY PARTNERS RETIREMENT PLAN CONSULTANTS

PRINCIPALCRD#: 164198

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