David Alan Harris
Professional Summary
David Alan Harris was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1976 - 2020. David had worked at 5 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 27, Series 24, Series 53 and Series 54FN exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
50 years in the financial services industry
Current & Past Employments
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Current Firm
DAVID HARRIS & CO., INC. | PAPILLON SECURITIES, INC.
Contact Information
Established
Delaware since 05/04/1998Firm Type
CorporationFiscal Year End
SeptemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDH HOLDINGS, INC. | PARENT COMPANY | — |
| HARRIS, DAVID ALAN | PRESIDENT, VP, SECRETARY, TREASURER, GSP, CCO, FINOP, GOVERNMENT PRINCIPAL, MSRB PRINCIAPL, AMLCO | 500413 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jul 2023About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jul 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000Series 54FN — Municipal Securities Financial and Operations Principal Examination
Passed May 1980Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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