Mitchell Joseph 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
TX	RA	APPROVED	2021-04-07
NC	RA	APPROVED	2011-05-25

TX RA
APPROVED

Since 2021-04-07
NC RA
APPROVED

Since 2011-05-25

Branch Locations

Denver, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Denver	NC	01/2013	Present

01/2013 → Present

Lpl Financial Llc

Denver, NC

Previous Registrations

2008-06-05 → 2011-06-04

Uvest Financial Services Group, Inc.

Charlotte, NC

Charlotte, NC

Charlotte, NC
2007-03-09 → 2008-06-17

Ameriprise Advisor Services, Inc.

Charlotte, NC

Other Businesses

(1) 01/30/2013: LAKE NORMAN FINANCIAL CONSULTING LLC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSIENSS LOCATION(S) (2) 11/27/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary Public - Start Date: 1/17/2020 - 0 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-05-03
S63	Uniform Securities Agent State Law Examination	2000-06-08

S65 Uniform Investment Adviser Law Examination

2007-05-03
S63 Uniform Securities Agent State Law Examination

2000-06-08

Designations

Certified Financial Planner

Other Names

Mitch Joseph Harris

View on SEC IAPD