Rexford Harris, financial advisor Lake Forest CA
83 score

Rexford Harris

CRD Number: 6137508
Current Firm: Lpl Financial LLC

Rexford Harris (CRD# 6137508) is an Investment Advisor Representative working at Lpl Financial LLC in Lake Forest, CA and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial, LLC Mission Viejo, CA Nov 2014 - Current 2
Edward Jones St Louis, MO Nov 2012 - Nov 2014 2
Unemployed Ladera Ranch, CA Aug 2012 - Nov 2012 < 1
Dhs/ice-hsi Investigations Long Beach, CA Nov 2006 - Aug 2012 5
Dhs-ice Investigations Rouses Point, NY Mar 2003 - Nov 2006 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Rexford M. Harris
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83
Verified Page
Data verified by both the advisor and the public regulatory data.

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