David HarrisCRD Number: 1235595
Current Firm: Mcf Advisors, LLC
David Harris (CRD# 1235595) is an Investment Advisor Representative working at Mcf Advisors, LLC in Lexington, KY and has over 34 years of experience in the finance industry.
Pierce Financial Planning, Inc.
Investment Professionals, Inc.
Context Financial LLC
|Mcf Advisors, LLC||Covington, KY||Jan 2004 - Current||14|
|Nfp Securities Inc.||Covington, KY||Apr 2006 - Dec 2008||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1983|
|S66||NASAA Uniform Combined State Law Examination||Jan 2003|
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:
- Customer Dispute
Total Assets Under Management1,017MILLIONS
Total Number of Accounts3,431ACCOUNTS
Average Account Value$296,272
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- 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)
AL, FL, IL, IN, KY, MO, NY, OH, TN, TX