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Scott Harris

23 Years of Experience
Lancaster, PA
1 DisclosureBroker

Scott Harris is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Lancaster, PA, with 23 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25581 advisors
Number of Clients
1,738,212 clients
Average Client Portfolio
$869K average
Assets Under Management
$1511.1B

Fee Structure

Investment management only (planning not offered)

The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.

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Location

110 N Duke St, Lancaster, PA, 17602

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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.
Customer Dispute
January 2023
Settled
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2019 - Present · 7 yrs 2 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
February 2015 - May 2019 · 4 yrs 3 mos
Wells Fargo Clearing Services, LLC
February 2015 - May 2019 · 4 yrs 3 mos
PNC Investments
November 2008 - February 2015 · 6 yrs 3 mos
PNC InvestmentsBroker
September 2008 - February 2015 · 6 yrs 5 mos
Wachovia Securities, LLCBroker
April 2004 - August 2008 · 4 yrs 4 mos
Usallianz Securities, INC.Broker
September 2001 - July 2003 · 1 yr 10 mos
State Registrations8 states
DEFLGAMDPATNVAWV
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.