Brett P. Harris

ALLSQUARE WEALTH MANAGEMENT

Albany, NY 12203

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CRD#: 5478362

Professional summary

Brett Philip Harris, who also goes by Brett Harris, is a registered financial advisor currently at ALLSQUARE WEALTH MANAGEMENT, LLC located in Albany, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Brett has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brett 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) AllSquare Wealth Management, LLC-Investment related-200 Great Oaks Blvd., Suite 219, Albany, NY 12203-Senior Financial Advisor-7/2016-160 hrs/mth-137 during trading hrs (2) Liberty ARC-Investment related-34 Liberty Dr, Amsterdam, NY 12010-Charitable Organization-Board member, finance committee member-3/20/2013-5 hrs/mth-0 during trading hrs-Attends board meetings, one per month (3)Brett Harris, Independent Insurance Agent-Not investment related-200 Great Oaks Blvd, Ste 219, Albany, NY 12203-Fixed insurance product sales-Independent insurance agent-5/2008-5 hrs/mth-100% during trading hrs-recommends fixed insurance products to clients, acts as an agent on sale.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Philip 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

August 19, 2021 - Present

ALLSQUARE WEALTH MANAGEMENT, LLC

Office #1: 200 Great Oaks Blvd Suite 219, Albany, NY 12203

RIA

CRD#: 153591

Albany, NY

Current

July 29, 2016 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 200 Great Oaks Blvd. Suite 219, Albany, NY 12203

CRD#: 35747

Albany, NY

Past

September 26, 2014 - August 4, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

AMSTERDAM, NY

Past

October 20, 2010 - August 4, 2016

LPL FINANCIAL LLC

CRD#: 6413

AMSTERDAM, NY

Past

May 14, 2009 - October 19, 2010

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

ALBANY, NY

Past

May 5, 2008 - October 2, 2008

WADDELL & REED

CRD#: 866

ALBANY, NY

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".

ALLSQUARE WEALTH MANAGEMENT, LLC

CRD#: 153591 / SEC#: 801-71675

RIA

Registered Investment Advisory firm - (7/9/2010 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.

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

New York
(7/29/2016)

IAR

New York
(9/9/2021)

Pennsylvania
(5/5/2023)

IAR

Texas
(8/19/2021)

Vermont
(7/29/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/17/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/19/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/22/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/2/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ALLSQUARE WEALTH MANAGEMENT, LLC

CRD#: 153591 / SEC#: 801-71675

RIA

Registered Investment Advisory firm - (7/9/2010 Approved)

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Contact information

Main Address

200 Great Oaks Blvd Suite 219, Albany, NY 12203

Mailing Address

Phone number

(518) 456-8900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03 19 2025 AWM FORM ADV PART 2A FINAL (3/19/2025)

Regulatory assets under management

Total Number of Accounts	486
AUM (Assets Under Management)	$ 284,817,271

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2025	Cover Page	Report
10/09/2024	Cover Page	Report
02/06/2024	Cover Page	Report

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

Brett P. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Philip Harris's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERCER ALLIED COMPANY, L.P.

WADDELL & REED

Primary Firm SEC Registration

ALLSQUARE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/17/2014

Series 63

Date: 2/19/2008

SIE

Date: 10/1/2018

Series 7

Date: 6/22/2010

Series 6

Date: 5/2/2008

FINRA

Current Firm

ALLSQUARE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLSQUARE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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