Richard Harris has been an investment adviser representative at Global View Capital Management since January 2014, and is not listed among the firm’s executive officers or direct owners.
Global View Capital Management LLC is a Waukesha, WI firm with $775M under management, 3,819 clients and 107 advisers across 6 offices, as of its August 2026 filing.
Richard Harris’ longest registration is the current one, 12 years at Global View Capital Management since 2014. Before joining Global View Capital Management in 2014, Richard Harris was registered through The Strategic Financial Alliance.
- – present · 12 yearsPleasant Grove, UT · Adviser representative · Firm CRD 158292
- The Strategic Financial Alliance– · under a yearPleasant Grove, UT · Adviser representative · Firm CRD 126514
Investment adviser representative registrations
Richard Harris is registered as an investment adviser representative in Utah, since January 2014.
- UtahSince 6 January 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 23 May 2013 |
| Series 63 | Uniform Securities Agent State Law Examination | 18 April 2013 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 3 April 2013 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Richard Wayne Harris
- CRD
- 6173927
- Firm
- Global View Capital Management · CRD 158292
- Office
- 233 SOUTH PLEASANT GROVE BOULEVARD, SUITE 102, Pleasant Grove, UT 84062
- Registration
- Investment adviser registration
- In the industry since
- June 2013
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Harris work?
Richard Harris is an investment adviser representative registered through Global View Capital Management LLC since January 2014, and is not listed among the firm’s executive officers or direct owners.
Is Richard Harris a financial advisor?
Yes. Richard Harris has a current investment-adviser registration in Utah, through Global View Capital Management since January 2014.
How many years of experience does Richard Harris have?
Richard Harris has 13 years in the financial industry, since June 2013, across 2 adviser firms.
What exams has Richard Harris passed?
Richard Harris has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in April 2013.
Where did Richard Harris work before Global View Capital Management?
Before Global View Capital Management, Richard Harris was registered through The Strategic Financial Alliance, May 2013 to December 2013.
Where is Richard Harris based?
Richard Harris’ registered office is in Pleasant Grove, UT.
Is Richard Harris registered with FINRA?
No. Richard Harris has no current broker registration.
How can I verify Richard Harris’ record?
Search CRD 6173927 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Harris’ full registration record.
