David Bernard Harris

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2026-03-03
NY	RA	APPROVED	2022-04-11
TX	RA	APPROVED_RES	2022-04-11

FL RA
APPROVED

Since 2026-03-03
NY RA
APPROVED

Since 2022-04-11
TX RA
APPROVED_RES

Since 2022-04-11

Branch Locations

Stuart, FL • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

2024 W Henrietta Rd Ste 3F, Brighton, NY 14623 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Key Investment Services Llc	Camillus	NY	02/2011	03/2022
Lpl Finanical, Llc	Brighton	NY	04/2022	Present

02/2011 → 03/2022

Key Investment Services Llc

Camillus, NY
04/2022 → Present

Lpl Finanical, Llc

Brighton, NY

Previous Registrations

2021-03-26 → 2022-04-13

Key Investment Services Llc

Camillus, NY

Rochester, NY

Camillus, NY

Rochester, NY

Rochester, NY

Syracuse, NY

Brooklyn, OH

Other Businesses

1-01/ 2014 / Real Estate Rental - David Harris - Investment Related - 260 Otter Run Pl Stuart, FL 34997-3048; 138 Walking Path Stuart, FL 34997-3039; 163 Walking Path Stuart, FL 34997-3040; 427 Walking Path Stuart, FL 34997-3000; 5051 Mariner Garden Cir Stuart, FL 34997-2176 2- 01/2022 / Turning Point Advisors / DBA for LPL Business (entity for LPL business) / Investment Related / Brighton, NY 14623 3. 01/28/2025- DCSN LLC- Not INV Related- At BRIGHTON, NY- Start date 01/01/2025- 40 Hours Per Month- 40 Hours During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-05-23
S63	Uniform Securities Agent State Law Examination	1988-09-29

S66 Uniform Combined State Law Examination

2012-05-23
S63 Uniform Securities Agent State Law Examination

1988-09-29

View on SEC IAPD