DH
DH
David Harris
26 Years of Experience
San Diego, CA
1 DisclosureBroker
David Harris is a registered investment advisor at UBS Financial Services INC., based in San Diego, CA, with 26 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
Loading...
Location
600 West Broadway, Suite 2100, San Diego, CA, 92101
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.
Criminal
December 1993Final Disposition
Employment History
Current Registrations
UBS Financial Services INC.Broker
December 2011 - Present · 14 yrs 10 mos
UBS Financial Services INC.
December 2011 - Present · 14 yrs 10 mos
UBS Financial Services INC.
December 2011 - Present · 14 yrs 10 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2004 - December 2011 · 7 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2004 - December 2011 · 7 yrs 4 mos
Morgan Stanley
June 2003 - July 2004 · 1 yr 1 mo
Morgan Stanley Dw INC.Broker
June 2003 - July 2004 · 1 yr 1 mo
American Express Financial Advisors, INC.
December 2001 - April 2003 · 1 yr 4 mos
Ids Life Insurance CompanyBroker
November 2001 - April 2003 · 1 yr 5 mos
American Express Financial Advisors INC.Broker
November 2001 - April 2003 · 1 yr 5 mos
J.J.B. Hilliard, W.L. Lyons, INC.Broker
July 2000 - November 2001 · 1 yr 4 mos
Gunnallen Financial, INCBroker
May 2000 - June 2000 · 1 mo
Mpi FinancialBroker
April 2000 - May 2000 · 1 mo
State Registrations13 states
AKAZCACOFLINMTNVNYORTNTXWA
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.
More Advisors
- Edward MirskyUBS Financial Services INC.
- Thomas KrumenackerUBS Financial Services INC.
- Benjamin NussbaumUBS Financial Services INC.
- Bryce HermanUBS Financial Services INC.
- Jeffrey HackettUBS Financial Services INC.
- Laura Jacobs, CFPUBS Financial Services INC.