Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Barry Harris is a financial advisor with over 22 years of experience in the financial services industry. Currently, David is a registered representative of UBS Financial Services Inc., in the San Diego, CA branch office. David began his career with J.J.B. Hilliard, W.L. Lyons, Inc. in 2000. David holds licenses for Series 7, 31, and 66, as well as a Series 63 license. David has experience working with individuals, high-net-worth individuals, charitable organizations, pension and profit sharing plans, corporations, and insurance companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
12/08/2011 - Present
UBS Financial Services Inc. (SAN DIEGO CA)
CA
08/16/2004 - 12/09/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN DIEGO CA)
NY
06/12/2003 - 07/08/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
MN
11/19/2001 - 04/30/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
11/19/2001 - 04/30/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
KY
07/25/2000 - 11/12/2001
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
FL
05/02/2000 - 06/23/2000
GUNNALLEN FINANCIAL, INC (TAMPA FL)
OH
04/20/2000 - 05/02/2000
MPI FINANCIAL (COLUMBUS OH)
BOTH
Issued 11/27/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/24/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 05/20/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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