Thomas Harris, financial advisor Louisville KY
93 score

Thomas Harris

CRD Number: 3136126
Current Firm: Cetera Investment Advisers LLC

Thomas Harris (CRD# 3136126) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Louisville, KY and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Cetera Investment Advisers LLC Schaumburg, IL Dec 2000 - Current 16
Cetera Financial Specialists LLC Schaumburg, IL Sep 1998 - Current 18
University Of Louisville Louisville, KY Oct 1995 - Current 21
Dasilva Wttifrer Louisville, KY Apr 1994 - Current 22
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1998
S65 NASAA Investment Advisors Law Examination Dec 1999
Contact Info for Thomas M. Harris
Phone Number: 888-528-2987
Registered State(s):
  • KY
By the Numbers
  • Total Assets Under Management
    7,010
    MILLIONS
  • Total Number of Accounts
    26,660
    ACCOUNTS
  • Average Account Value
    $262,943
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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
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
93
Clean Record
This advisor has a clean track record with regulators.

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