JH
Johnnie W. Harris
SCHWAB WEALTH ADVISORY
Phoenix, AZ 85016-1215
Some features on this profile are disabled
CRD#: 4735288
JH
Professional summary
Johnnie William Harris, who also goes by Johnnie William Harris III, Johnnie Harris, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Phoenix, Arizona and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.
Johnnie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Johnnie has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Johnnie William Harris Iii | Johnnie 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) Robinson Airport Shuttle | Investment Related:No|100 Montgomery St|Gary|Indiana|46403|USA|Travel/Transportation/Tourism|Part Owner|8/7/2024|Less than 20|0|Invest Capital
CRS (Client Relationship Summary) - RIA
Click below to view Johnnie William 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®
NoneExperience
Current
November 30, 2021 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215RIA
CRD#: 159035
Phoenix, AZ
Current
January 6, 2022 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215RIA
BD
CRD#: 5393
Phoenix, AZ
Past
August 11, 2020 - September 23, 2021
EDELMAN FINANCIAL ENGINES
RIA
CRD#: 104510
PHOENIX, AZ
Past
October 19, 2006 - July 1, 2020
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
May 26, 2004 - October 16, 2006
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
Registered Investment Advisory firm - (12/9/2011 Approved)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
Alabama(1/12/2022)
RR
Alaska(1/7/2022)
IAR
Arizona(11/30/2021)
RR
Arizona(1/7/2022)
RR
Arkansas(1/7/2022)
RR
California(1/7/2022)
RR
Colorado(1/10/2022)
RR
Connecticut(1/10/2022)
RR
Delaware(2/1/2022)
RR
District of Columbia(1/11/2022)
RR
Florida(1/7/2022)
RR
Georgia(1/7/2022)
RR
Hawaii(1/7/2022)
RR
Idaho(1/7/2022)
RR
Illinois(1/12/2022)
RR
Indiana(1/10/2022)
RR
Iowa(1/12/2022)
RR
Kansas(1/7/2022)
RR
Kentucky(1/10/2022)
RR
Louisiana(1/11/2022)
RR
Maine(1/7/2022)
RR
Maryland(1/7/2022)
RR
Massachusetts(1/7/2022)
RR
Michigan(1/10/2022)
RR
Minnesota(1/11/2022)
RR
Mississippi(1/10/2022)
RR
Missouri(1/7/2022)
RR
Montana(1/7/2022)
RR
Nebraska(1/10/2022)
RR
Nevada(1/20/2022)
RR
New Hampshire(1/11/2022)
RR
New Jersey(1/11/2022)
RR
New Mexico(1/11/2022)
RR
New York(1/8/2022)
RR
North Carolina(1/11/2022)
RR
North Dakota(1/11/2022)
RR
Ohio(1/7/2022)
RR
Oklahoma(1/12/2022)
RR
Oregon(1/7/2022)
RR
Pennsylvania(1/7/2022)
RR
Puerto Rico(1/14/2022)
RR
Rhode Island(1/12/2022)
RR
South Carolina(1/10/2022)
RR
South Dakota(1/19/2022)
RR
Tennessee(1/12/2022)
RR
Texas(1/7/2022)
RR
Utah(1/10/2022)
RR
Vermont(1/10/2022)
RR
Virgin Islands(1/14/2022)
RR
Virginia(1/8/2022)
RR
Washington(1/11/2022)
RR
West Virginia(1/12/2022)
RR
Wisconsin(1/11/2022)
RR
Wyoming(1/25/2022)
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
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
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Contact information
Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042
SEC notice filing (53 States and Territories)
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.
