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MH

Marissa Harris

ROSSBY FINANCIAL
Charlotte, NC
Some features on this profile are disabled
CRD#: 5120745
MH

Professional summary

Marissa Harris, who also goes by Marissa Elana Harris, is a registered financial advisor currently at ROSSBY FINANCIAL, LLC located in Charlotte, North Carolina.

Marissa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Marissa has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Marissa Elana 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) - RIA

Click below to view Marissa Harris's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 17, 2026 - Present

ROSSBY FINANCIAL, LLC

RIA
CRD#: 324631
Charlotte, NC
Past

May 4, 2022 - April 26, 2023

JLA SECURITIES, LLC

BD
CRD#: 312309
DETROIT, MI
Past

March 28, 2019 - March 13, 2024

ALLY INVEST SECURITIES LLC

BD
CRD#: 136131
Charlotte, NC
Past

March 4, 2015 - March 25, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

August 17, 2012 - December 5, 2012

ZECCO TRADING, INC.

BD
CRD#: 135398
GLENDALE, CA
Past

May 5, 2008 - February 19, 2015

ALLY INVEST SECURITIES LLC

BD
CRD#: 136131
CHARLOTTE, NC
Past

July 11, 2006 - August 6, 2007

E*TRADE SECURITIES LLC

BD
CRD#: 29106
CHARLOTTE, NC

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".
RF
ROSSBY FINANCIAL, LLC
EVIE FINANCIAL | TRUCESS | TOLER FINANCIAL GROUP | THE ALAN R JOYCE COMPANY LLC | ROSSBY WEALTH, LLC | ROSSBY FINANCIAL, LLC | REYMAR WEALTH MANAGEMENT | RED OAK ADVISORS | RANDOLPH MARTIN RETIREMENT GROUP | OLEADA FINANCIAL | MARSICO WEALTH MANAGEMENT, LLC | LIFE STRATEGIES FINANCIAL PARTNERS

CRD#: 324631 / SEC#: 801-127370

RIA
Registered Investment Advisory firm - (2/24/2023 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.

Highlighted states indicate IAR registrations

IAR
North Carolina
(4/17/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/17/2026
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/21/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/10/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/19/2016
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/25/2011
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/3/2010
General Securities Principal Examination

Current Firm

RF
ROSSBY FINANCIAL, LLC
EVIE FINANCIAL | TRUCESS | TOLER FINANCIAL GROUP | THE ALAN R JOYCE COMPANY LLC | ROSSBY WEALTH, LLC | ROSSBY FINANCIAL, LLC | REYMAR WEALTH MANAGEMENT | RED OAK ADVISORS | RANDOLPH MARTIN RETIREMENT GROUP | OLEADA FINANCIAL | MARSICO WEALTH MANAGEMENT, LLC | LIFE STRATEGIES FINANCIAL PARTNERS

CRD#: 324631 / SEC#: 801-127370

RIA
Registered Investment Advisory firm - (2/24/2023 Approved)
PREMIUM
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Contact information

Main Address
2412 Irwin Street, Melbourne, FL 32901
Mailing Address
Phone number
(321) 209-0111
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (33 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ROSSBY WRAP BROCHURE 2025 (3/4/2025)
ROSSBY ADV PART 2A BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts804
AUM (Assets Under Management)$ 358,627,117

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

ROSSBY FINANCIAL, LLC

CRD#: 324631Charlotte, NC

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