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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-11-26
  • CA RA
    APPROVED
    Since 2018-11-26

Branch Locations

12830 El Camino Real, San Diego, CA 92130 • United States

500 Newport Ctr Dr, Newport Beach, CA 92660 • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial Yes
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Alphacore Capital, Llc La Jolla CA 08/2015 06/2018
D&B Management La Jolla CA 01/2018 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Diego CA 10/2018 Present
Bank Of America, N.A. San Diego CA 10/2018 Present
Previous Registrations
  • 2015-08-04 → 2018-07-16
    La Jolla, CA
  • 2013-03-11 → 2014-12-08
    D&B Capital Management Llc
    Franklin, IN
  • 2005-01-21 → 2009-03-26
    Stanford Group Company
    Baton Rouge, LA
    Baton Rouge, LA
Other Businesses

I*3301281, Entity Type: , Name of OBA: D J H, Address: La Jolla, California, 92037, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 12/11/2025, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-03-01
S66 Uniform Combined State Law Examination 2004-03-31
  • S63 Uniform Securities Agent State Law Examination
    2019-03-01
  • S66 Uniform Combined State Law Examination
    2004-03-31
Other Names
  • Dirk J. Harris
  • Dirk Joseph Harris
  • Dirk Harris

View on SEC IAPD

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