Roger Harris is a registered investment advisor, based in Denver, CO, with 32 years of industry experience.
Location
1777 S. Harrison St., Suite 102, Denver, CO, 80210
Get directionsHistory
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.
Customer Dispute
June 2011Denied
Other Business ActivitiesSells Insurance
Roger owns R.Kent Harris & Associates, LTD, which provides insurance and investment advisory services. This takes nearly all of Roger's time, both during and outside of trading hours.
Employment History
Current Registrations
Kestra Investment Services, LLCBroker
June 1999 - Present · 26 yrs 11 mos
R. Kent Harris and Associates, LTD.
January 1999 - Present · 27 yrs 4 mos
Previous Registrations
Royal Alliance Associates, INC.Broker
July 1996 - June 1999 · 2 yrs 11 mos
Metlife Securities INC.Broker
September 1993 - August 1996 · 2 yrs 11 mos
Metropolitan Life Insurance CompanyBroker
September 1993 - August 1996 · 2 yrs 11 mos
State Registrations30 states
ARAZCACODCFLGAILKSKYLAMAMIMOMSMTNCNENVNYOHOKRISCSDTXVirgin IslandsWAWVWY
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.