David Harris is a registered investment advisor at RBC Capital Markets, LLC, based in Sturgeon Bay, WI, with 40 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
756 Jefferson St., Sturgeon Bay, WI, 54235-2151
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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David is involved in several outside business activities, including marine transportation (Atlas Marine), marina management (Chambers Island Marina Co. LLC), harbor commission (Fish Creek Harbor Commission), airboat manufacturing (1000 Island Airboats, LLC), vacation rental, volunteer firefighting, and a non-profit land preservation organization. These activities take up minimal time outside of his securities work, with the exception of Atlas Marine and 1000 Island Airboats, LLC, which take a few hours per week.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
A. G. Edwards & Sons, INC.Broker
State Registrations19 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.