James Edward Harris

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2017-08-14

TX RA
APPROVED

Since 2017-08-14

Branch Locations

181 E B B Fielder Rd, Weatherford, TX 76087 • United States

Disclosures

1 disclosure category 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 No
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
Southwestern Advisory Group	Abilene	TX	03/2016	08/2017
Purshe Kaplan Sterling Investments	Albany	NY	03/2016	08/2017
Wells Fargo Clearing Services Llc	Abilene	TX	08/2017	Present

03/2016 → 08/2017

Southwestern Advisory Group

Abilene, TX
03/2016 → 08/2017

Purshe Kaplan Sterling Investments

Albany, NY
08/2017 → Present

Wells Fargo Clearing Services Llc

Abilene, TX

Previous Registrations

2016-03-23 → 2017-09-06

Southwestern Advisory Group Llc

Abilene, TX

Abilene, TX

Stephenville, TX
2016-01-19 → 2016-03-11

Ameriprise Financial Services, Llc

Abilene, TX

Stephenville, TX
2010-09-30 → 2014-11-12

First Allied Advisory Services, Inc.

Abilene, TX
2005-02-10 → 2010-10-07

Greenbook Investment Management, Inc.

Abilene, TX
2003-01-13 → 2004-12-31

Xelan Financial Planning, Inc.

Abilene, TX
2002-02-12 → 2003-01-15

Xelan Investment Services, Inc.

Abilene, TX

Other Businesses

FIRST BAPTIST CHURCH, INV RELATED, ABILENE, TX, FINANCE COMMITTEE MEMBER, START 1/16/2024, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, DISCUSSING INCOME, EXPENSES, AND BUDGET. FIRST BAPTIST CHURCH ABILENE TX; INV RELATED; ABILENE,TX; CHAIRPERSON; START DATE: 01/20/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2017-09-28
S66	Uniform Combined State Law Examination	1999-11-09

S63 Uniform Securities Agent State Law Examination

2017-09-28
S66 Uniform Combined State Law Examination

1999-11-09

Other Names

Ed Harris
J. Edward Harris
James E. Harris
J. Edward Harris

View on SEC IAPD