RH
Roscoe H. Harris
INFINITY FINANCIAL SERVICES ADVISORY
Oakland, CA 94607
Some features on this profile are disabled
CRD#: 7946381
RH
Professional summary
Roscoe Herman Harris III, who also goes by Roscoe Herman Harris, is a registered financial advisor currently at INFINITY FINANCIAL SERVICES ADVISORY located in Oakland, California and INFINITY FINANCIAL SERVICES located in Oakland, California.
Roscoe is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Roscoe has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roscoe Herman 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Roscoe Herman Harris III'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
March 12, 2026 - Present
INFINITY FINANCIAL SERVICES ADVISORY
Office #1: 212 9th Street Suite 202, Oakland, CA 94607RIA
CRD#: 304981
Oakland, CA
Current
March 12, 2026 - Present
INFINITY FINANCIAL SERVICES
Office #1: 212 9th Street Suite 202, Oakland, CA 94607BD
CRD#: 144302
Oakland, CA
Past
March 24, 2025 - January 28, 2026
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SAN MATEO, CA
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".
IF
INFINITY FINANCIAL SERVICES ADVISORY
FERRIER FINANCIAL | TRI VALLEY WEALTH MANAGEMENT | STERLING FIRST FINANCIAL | SMITH FINANCIAL GROUP | SILVERLIGHT FINANCIAL | SAOR FINANCIAL | PROVIDENCE FINANCIAL MANAGEMENT | ONELINK FINANCIAL SERVICES | MYZ FINANCIAL | MEDINA PRIVATE WEALTH | LOVELL WEALTH MANAGEMENT | LGC FINANCIAL | JONES CAPITAL MANAGEMENT | INFINITY FINANCIAL SERVICES ADVISORY | HOLADAY FINANCIAL | GUIDANCE FINANCIAL | GILBERT GREG RIA, LLC
CRD#: 304981 / SEC#: 801-117719
RIA
Registered Investment Advisory firm - (12/5/2019 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.RR
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
RR
California(3/12/2026)
IAR
California(3/12/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/22/2025
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INFINITY FINANCIAL SERVICES ADVISORY
FERRIER FINANCIAL | TRI VALLEY WEALTH MANAGEMENT | STERLING FIRST FINANCIAL | SMITH FINANCIAL GROUP | SILVERLIGHT FINANCIAL | SAOR FINANCIAL | PROVIDENCE FINANCIAL MANAGEMENT | ONELINK FINANCIAL SERVICES | MYZ FINANCIAL | MEDINA PRIVATE WEALTH | LOVELL WEALTH MANAGEMENT | LGC FINANCIAL | JONES CAPITAL MANAGEMENT | INFINITY FINANCIAL SERVICES ADVISORY | HOLADAY FINANCIAL | GUIDANCE FINANCIAL | GILBERT GREG RIA, LLC
CRD#: 304981 / SEC#: 801-117719
RIA
Registered Investment Advisory firm - (12/5/2019 Approved)PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
212 9th Street Suite 202, Oakland, CA 94607
Mailing Address
Phone number
(510) 588-8000
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 918 |
| AUM (Assets Under Management) | $ 150,097,662 |
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.
Company Information
INFINITY FINANCIAL SERVICES ADVISORY
CRD#: 304981Oakland, CA 94607TRUST BUT VERIFY
Monitor Roscoe Harris
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
