Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid John Harris is a financial advisor with over 27 years of experience in the financial services industry. David is currently registered with Stifel, Nicolaus & Company, Inc. David has held previous positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Securities, LLC, and A. G. Edwards & Sons, Inc. David holds a variety of licenses and certifications, including the Series 7, Series 31, Series 63, and Series 65 exams. David is also a Branch Manager with a Series 30 license. David provides financial planning, portfolio management, and educational seminars to individuals, families, and businesses. David also serves as a Board Member for the Al Cesky Foundation.
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.
1
2
MD
10/31/2018 - Present
Stifel, Nicolaus & Company, Inc. (BEL AIR MD)
MD
05/08/2009 - 11/01/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BEL AIR MD)
MD
06/13/2000 - 05/11/2009
WACHOVIA SECURITIES, LLC (BEL AIR MD)
MO
11/20/1995 - 06/21/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 02/18/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/07/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/17/2004
Series 30 - NFA Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 11/17/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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