Heath J. Harris

COMPOUND ADVISORY

PASADENA, MD

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CRD#: 5183327

Professional summary

Heath Justin Harris, who also goes by Heath J Harris, is a registered financial advisor currently at COMPOUND ADVISORY located in Pasadena, Maryland.

Heath is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Heath has worked at 7 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Heath J 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). Insurance. Not investment related. 901 Dulaney Valley Road, Suite 701, Towson, MD 21204. Insurance Sales. Agent. 09/2021. 10 HRS/MONTH. 10 HRS/TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heath Justin 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®

None

Experience

Current

March 28, 2025 - Present

COMPOUND ADVISORY

RIA

CRD#: 334484

PASADENA, MD

Past

September 13, 2021 - April 4, 2025

OLIVER WEALTH MANAGEMENT

RIA

CRD#: 314867

TOWSON, MD

Past

September 7, 2018 - February 26, 2021

HAYDEN ROYAL

RIA

CRD#: 170037

Towson, MD

Past

August 1, 2017 - September 25, 2018

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WASHINGTON, DC

Past

July 25, 2017 - September 25, 2018

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WASHINGTON, DC

Past

July 31, 2015 - July 24, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BETHESDA, MD

Past

July 31, 2015 - July 24, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BETHESDA, MD

Past

March 31, 2011 - August 3, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

COLUMBIA, MD

Past

March 31, 2011 - August 3, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

COLUMBIA, MD

Past

May 14, 2010 - April 4, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

BALTIMORE, MD

Past

October 27, 2006 - April 4, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

BALTIMORE, MD

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

Maryland
(3/28/2025)

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: 1/27/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/13/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/26/2006

General Securities Representative Examination

Current Firm

COMPOUND ADVISORY

COMPOUND ADVISORY | COMPOUND ADVISORY LLC

CRD#: 334484 / SEC#:

Maryland

Registered Investment Advisory firm - (3/28/2025 Approved)

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Contact information

Main Address

Pasadena, MD

Mailing Address

Phone number

(443) 924-1278

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Advisor Monitoring

Firm Stability Insights

Heath J. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heath Justin Harris's CRS (Customer Relationship Summary).

Certified licenses

Experience

OLIVER WEALTH MANAGEMENT

HAYDEN ROYAL

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/2025

Series 66

Date: 5/13/2010

SIE

Date: 9/25/2018

Series 7

Date: 10/26/2006

Current Firm

COMPOUND ADVISORY

Contact information

Documents

Red Flags

Company Information

COMPOUND ADVISORY

TRUST BUT VERIFY

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