Ian A. Harris

HERITAGE WEALTH MANAGEMENT

Houston, TX 77027

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CRD#: 5523431

Professional summary

Ian Andrew Harris, CFP® is a registered financial advisor currently at HERITAGE WEALTH MANAGEMENT located in Houston, Texas.

Ian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Ian has worked at 3 firms and has passed the 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian Andrew 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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

January 16, 2013 - Present

HERITAGE WEALTH MANAGEMENT

Office #1: 4400 Post Oak Parkway Suite 2510, Houston, TX 77027

RIA

CRD#: 122394

Houston, TX

Past

November 22, 2010 - September 24, 2012

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

HOUSTON, TX

Past

June 26, 2008 - July 20, 2012

FSC SECURITIES CORPORATION

CRD#: 7461

HOUSTON, TX

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".

HERITAGE WEALTH MANAGEMENT

HERITAGE WEALTH MANAGEMENT | HERITAGE WEALTH MANAGEMENT, INC.

CRD#: 122394 / SEC#: 801-107506

RIA

Registered Investment Advisory firm - (3/25/2016 Approved)

Texas

Registered Investment Advisory firm - (4/28/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(1/16/2013)

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 66

Date: 8/10/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/25/2008

General Securities Representative Examination

Current Firm

HERITAGE WEALTH MANAGEMENT

HERITAGE WEALTH MANAGEMENT | HERITAGE WEALTH MANAGEMENT, INC.

CRD#: 122394 / SEC#: 801-107506

RIA

Registered Investment Advisory firm - (3/25/2016 Approved)

Texas

Registered Investment Advisory firm - (4/28/2016 Terminated)

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Contact information

Main Address

4400 Post Oak Parkway Suite 2510, Houston, TX 77027

Mailing Address

Phone number

(713) 871-9800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HWM ADV 2A (3/11/2025)

HWM WRAP FEE BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	755
AUM (Assets Under Management)	$ 313,072,495

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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Ian A. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian Andrew Harris's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERITAGE WEALTH MANAGEMENT

PNC MANAGED ACCOUNT SOLUTIONS, INC.

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

HERITAGE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2008

Series 7

Date: 6/25/2008

Current Firm

HERITAGE WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERITAGE WEALTH MANAGEMENT

TRUST BUT VERIFY

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