Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lawson Harris has been in the securities industry since June 17, 1985. Currently, David is registered with RBC Capital Markets, LLC. David is a registered representative in Wisconsin and is licensed to sell securities in 17 states. David has also been registered with Wells Fargo Advisors, LLC and A. G. Edwards & Sons, Inc. David has earned several professional designations and has passed multiple industry exams, including the Series 7, Series 9, Series 10, Series 63, and Series 66 exams. David specializes in providing financial planning, portfolio management for individuals and businesses, and selection of other advisors. David is also a board member for the Chambers Island Marina Co. LLC and the Fish Creek Harbor Commission.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
WI
05/15/2009 - Present
RBC Capital Markets, LLC (STURGEON BAY WI)
WI
01/01/2008 - 05/19/2009
WELLS FARGO ADVISORS, LLC (STURGEON BAY WI)
WI
06/18/1985 - 01/03/2008
A. G. EDWARDS & SONS, INC. (STURGEON BAY WI)
BOTH
Issued 11/18/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/16/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/23/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/1985
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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