King H. Harris
Professional summary
King Hanford Harris, who also goes by Hanford King Harris, is a registered financial advisor currently at PINNACLE ASSOCIATES, LTD. located in New York, New York.
King is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. King has worked at 4 firms and has passed the Series 65, Series 63, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view King Hanford Harris's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 14, 2021 - Present
PINNACLE ASSOCIATES, LTD.
Office #1: 286 Madison Avenue 20th Floor, New York, NY 10017July 1, 1998 - June 5, 2013
MATRIX CAPITAL GROUP, INC.
June 23, 1988 - June 15, 1998
LAIDLAW GLOBAL SECURITIES, INC.
April 24, 1978 - June 20, 1988
KUHNS BROTHERS & LAIDLAW, INC.
Primary Firm SEC Registration
PINNACLE ASSOCIATES, LTD.
CRD#: 110631 / SEC#: 801-20841
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/14/2021)
Exams
Series 15
Date: 12/7/1982
Foreign Currency Options ExaminationCurrent Firm
PINNACLE ASSOCIATES, LTD.
CRD#: 110631 / SEC#: 801-20841
Contact information
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,429 |
| AUM (Assets Under Management) | $ 9,866,562,515 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/14/2025 | ||
| 01/11/2024 |
Red Flags
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