Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rachel? Claim Your ProfileRachel Harris is a financial advisor who has been in the industry since 2006. She has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2013 and has a strong track record of providing financial advice to individuals, families, and businesses. Previously, Rachel worked with Morgan Stanley for three years. Rachel has a broad range of experience in the financial services industry, and she is committed to helping her clients achieve their financial goals. She is licensed to provide investment advice in 41 states and the District of Columbia. Rachel is also a Registered Investment Advisor (RIA) in California and Texas.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
08/14/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WALNUT CREEK CA)
CA
01/11/2010 - 07/17/2013
MORGAN STANLEY (ORINDA CA)
CA
04/02/2007 - 02/19/2008
MORGAN STANLEY & CO., INCORPORATED (ORINDA CA)
CA
08/10/2004 - 04/02/2007
MORGAN STANLEY DW INC. (ORINDA CA)
BOTH
Issued 11/04/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/23/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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