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Chris Harkins

Raymond James & Associates, INC.
36 Years of Experience
Little Rock, AR
1 DisclosureBroker
View SEC Summary
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Chris Harkins is a registered investment advisor at Raymond James & Associates, INC., based in Little Rock, AR, with 36 years of industry experience. Chris is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

12921 Cantrell Road, Suite 400, Little Rock, AR, 72223

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
May 1993
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Chris is an officer (Treasurer) for Little Rock Montessori, a non-profit organization, since 2015. Chris reviews their monthly books and provides a financial overview, dedicating minimal time to this activity.

Employment History
Current Registrations
Raymond James & Associates, INC.
November 2015 - Present · 10 yrs 11 mos
Raymond James & Associates, INC.Broker
November 2015 - Present · 10 yrs 11 mos
Previous Registrations
Simmons First Capital Management, INC.
December 2014 - September 2015 · 9 mos
Simmons First Investment Group, INC.
January 2000 - November 2015 · 15 yrs 10 mos
Simmons First Investment Group, INC.Broker
January 2000 - November 2015 · 15 yrs 10 mos
Regions Investment Company, INC.Broker
September 1998 - January 2000 · 1 yr 4 mos
First Commercial Investments, INC.Broker
May 1997 - October 1998 · 1 yr 5 mos
Boatmen's Investment Services, INC.Broker
June 1996 - December 1996 · 6 mos
Boatmen's Investment Services of Arkansas, INC.Broker
June 1995 - May 1997 · 1 yr 11 mos
Linsco/private Ledger CORP.Broker
June 1993 - May 1995 · 1 yr 11 mos
A. G. Edwards & Sons, INC.Broker
January 1992 - May 1993 · 1 yr 4 mos
Lehman Brothers INC.Broker
November 1989 - February 1992 · 2 yrs 3 mos
State Registrations22 states
ARAZCACOFLGAINMIMNMOMSNCNJNMNVNYOHSCTNTXUTVA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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