Eric N. Harris
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eric Nathan Harris was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2014. Eric had worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2018 - March 22, 2024
WEALTHFRONT ADVISERS LLC
November 15, 2016 - March 22, 2024
WEALTHFRONT BROKERAGE LLC
February 19, 2014 - October 12, 2016
M&T SECURITIES, INC.
Primary Firm SEC Registration
WEALTHFRONT ADVISERS LLC
CRD#: 148456 / SEC#: 801-69766
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WEALTHFRONT ADVISERS LLC
CRD#: 148456 / SEC#: 801-69766
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 642,888 |
| AUM (Assets Under Management) | $ 42,948,787,664 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 01/11/2024 | ||
| 01/03/2023 |
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.
