Richard G. 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.
Richard Gregory Harris, who also goes by Rick Harris, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2021 - October 26, 2021
KESTRA ADVISORY SERVICES, LLC
April 10, 2000 - October 26, 2021
KESTRA INVESTMENT SERVICES, LLC
May 27, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 27, 1999 - May 4, 2000
EQUITABLE ADVISORS, LLC
December 18, 1995 - May 26, 1999
WS GRIFFITH SECURITIES, INC.
August 15, 1994 - February 28, 1997
EQUITABLE ADVISORS, LLC
November 19, 1989 - January 31, 1990
OSAIC WEALTH, INC.
July 22, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 5, 1984 - December 22, 1995
BERKSHIRE EQUITY SALES, INC.
December 6, 1982 - February 28, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 20, 1980 - May 24, 1984
EQUITABLE ADVISORS, LLC
March 18, 1980 - February 28, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 1
Date: 3/10/1980
Registered Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
