Edward George 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2007 → Present
  Lpl Financial Llc
  Yorba Linda, CA

Previous Registrations

• 2014-07-29 → 2015-10-05
  Level Four Advisory Services
  Anaheim, CA
  Dallas, TX
• 2004-01-30 → 2007-10-17
  Banc Of America Investment Services, Inc.
  Yorba Linda, CA
  Villa Park, CA
  Villa Park, CA
• 1998-08-24 → 2004-02-03
  Morgan Stanley Dw Inc.
  Santa Ana, CA

Other Businesses

(1) 08/12/2014: E&E Properties - Real Estate Rental - Investment Related - At Reported Business Location(s) - 10 Hr/Mo; 0 Hour(s) During Securities Trading - tennants are not customers (2) 11/17/2015: No Business Name - Real Estate Rental - Investment Related - 27065 Big Horn Mountain Way, Yorba Linda CA 92887 - Start 06/30/2005 - 5 Hr/Mo; 0 Hour(s) During Securities Trading - Tennants are not clients; 7311 Newlin (7 units) and 7751 Comstock (3 units), Whittier, CA (3) 11/20/2015: Harris & Associates Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - 27065 Big Horn Mountain Way, Yorba Linda, CA 92887 - Start 11/30/2005 - 180 Hr/Mo; 8 Hour(s) During Securities Trading - LPL business only, sole proprietorship, no insurance. (4) 8/23/2017: No Business Name - Investment Related - Whittier, CA - Real Estate Rental - Started 06/30/2005 - 10 Hours Per Month/0 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-02-23
• S63 Uniform Securities Agent State Law Examination
  1986-11-10