David Harris, financial advisor Sturgeon Bay WI
93 score

David Harris

CRD Number: 1379543
Current Firm: Rbc Capital Markets, LLC

David Harris (CRD# 1379543) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Sturgeon Bay, WI and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Rbc Capital Markets, LLC Sturgeon Bay, WI May 2009 - Current 7
Wachovia Securities, LLC Sturgeon Bay, WI Jan 2008 - May 2009 1
A. G. Edwards & Sons, Inc. Sturegeon, WI Apr 1985 - Jan 2008 22
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1985
S66 NASAA Uniform Combined State Law Examination Nov 2009
Contact Info for David L. Harris
Phone Number: 212-858-7000
Firm Website: https://www.rbccm.com
Registered State(s):
  • WI
By the Numbers
  • Total Assets Under Management
    76,274
    MILLIONS
  • Total Number of Accounts
    192,243
    ACCOUNTS
  • Average Account Value
    $396,757
Compensation Options
  • A percentage of assets under your management
  • 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
93
Clean Record
This advisor has a clean track record with regulators.

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