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James Harris

Morgan Stanley
49 Years of Experience
Charlotte, NC
2 DisclosuresBroker
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James Harris is a registered investment advisor at Morgan Stanley, based in Charlotte, NC, with 49 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.

Morgan Stanley
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B

Fee Structure

Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location

6805 Carnegie Boulevard, Suite 400, Charlotte, NC, 28211

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History

Regulatory History (2)
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
February 2012
Closed-No Action
Customer Dispute
November 2004
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is an officer at Revenant Investment Partners L.P., a hospital/healthcare related entity, spending minimal time on administrative tasks. He is also a passive partner in First Carolina Property JH, a real estate venture.

Employment History
Current Registrations
Morgan StanleyBroker
May 2012 - Present · 14 yrs
Morgan Stanley
May 2012 - Present · 14 yrs
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2007 - May 2012 · 5 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2007 - May 2012 · 5 yrs 3 mos
Merrill Lynch Pierce Fenner & Smith INC.
January 1998 - February 2007 · 9 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - February 2007 · 28 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
February 1977 - September 1978 · 1 yr 7 mos
State Registrations37 states
ALAZCACOCTDCFLGAHIIAIDILINKYLAMAMDMIMNMOMSNCNENHNJNYOHOKPASCTNTXUTVAWAWIWV
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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