DH
Daniel R. Harris
D.R. HARRIS & CO.
La Jolla, CA 92037
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CRD#: 5205974
DH
Professional summary
Daniel Royer Harris is a registered financial advisor currently at D.R. HARRIS & CO. located in La Jolla, California.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Daniel has worked at 2 firms and has passed the Series 65, Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
All businesses operate under the name of D.R. Harris & Co. Business 1: Income Tax Preparation, not investment related, 4210 Porte de Palmas #29 San Diego, CA 92122, Income Tax Preparation, Owner, Shares clients with investment advisory business, Started 3/2024. The work is seasonal with up to 150 hours a month in March and April during income tax season, 0-15 hours a month in January, February, June and September and 0-1 hour a month in all other months. During tax season up to 150 hours a month is devoted to tax preparation during securities trading hours. Outside of tax season anywhere from 0-15 hours a month of tax preparation work is done during securities trading hours. In May, July, August, October, November and December typically no time is devoted to income tax preparation. Business 2: Business Consulting and Business Owner Financial and Strategic Planning Services. Not investment related. 4275 Executive Square, Suite 200 La Jolla, CA 92037. Provides consulting with business owners on how to comply with regulations, understanding business tax obligations, and/or increasing profitability. Owner. May have some overlap in clients with D.R. Harris & Co. investment advisory business in the future but never had overlap in the past (as of 1/22/25) (ie. no one was simultaneously and investment advisory client or D.R. Harris & Co. and also utilizing business consulting services - they were either one or the other). Began 1/2023. 0-4 hours a month. 0-4 hours during security trading hours. Duties were to provide the services described above.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Royer 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
July 21, 2009 - Present
D.R. HARRIS & CO.
Office #1: 4275 Executive Square Suite 200, La Jolla, CA 92037RIA
CRD#: 150174
La Jolla, CA
Past
April 2, 2007 - October 23, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ESCONDIDO, CA
Past
February 13, 2007 - October 23, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ESCONDIDO, CA
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
California(7/21/2009)
IAR
Maine(3/7/2024)
IAR
Texas(5/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
DH
D.R. HARRIS & CO.
D.R. HARRIS & CO. | HARRIS, DANIEL, ROYER
CRD#: 150174 / SEC#:
California
Registered Investment Advisory firm - (7/21/2009 Approved)Maine
Registered Investment Advisory firm - (3/7/2024 Approved)Texas
Registered Investment Advisory firm - (5/22/2025 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4275 Executive Square Suite 200, La Jolla, CA 92037
Mailing Address
Phone number
(858) 210-6470
Established
Firm type
Fiscal year end
# of Employees
1
Red Flags
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