Stephen Harris
Stephen Harris is a ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in Dallas, TX, with 51 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
12221 Merit Dr Ste 1760, Dallas, TX, 75251
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Stephen is an insurance broker with Stephen L. Harris CLU & Associates, dedicating minimal time to selling insurance and employee benefit plans. He also serves as Chairman of Ark House, a non-profit, and works as an insurance agent selling fixed insurance products, spending a few hours per week on each.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Sun Investment Services CompanyBroker
B.C. Christopher Securities CO.Broker
Morison Securities, INC.Broker
The Great-West Life Assurance CompanyBroker
Metropolitan Life Insurance CompanyBroker
State Registrations4 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.
Exams
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