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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

JAMES EDWARD HARRIS

Advisor at WELLS FARGO ADVISORS

WEATHERFORD, TX

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Search this name across graphsid dfx:ria:bddf81cc-00fb-20f0-d9d6-23a1b689a2a1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 12, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 9, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Nov 9, 1999
First registration: Feb 12, 2002
Dual registered: yes, broker-dealer
Other names: ED HARRIS|J. EDWARD HARRIS|JAMES E. HARRIS|J. EDWARD HARRIS
IAPD individual key: 4004078

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Aug 14, 2017	n/a	yes	WEATHERFORD, TX	Current employment
SOUTHWESTERN ADVISORY GROUP	Former SEC adviser	Mar 23, 2016	Sep 6, 2017	no	Abilene, TX\|Abilene, TX\|STEPHENVILLE, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 19, 2016	Mar 11, 2016	no	Abilene, TX\|STEPHENVILLE, TX	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Sep 30, 2010	Nov 12, 2014	no	ABILENE, TX	Previous registration
GREENBOOK INVESTMENT MANAGEMENT, INC.	n/a	Feb 10, 2005	Oct 7, 2010	no	ABILENE, TX	Previous registration
XELAN FINANCIAL PLANNING, INC.	n/a	Jan 13, 2003	Dec 31, 2004	no	ABILENE, TX	Previous registration
XELAN INVESTMENT SERVICES, INC.	n/a	Feb 12, 2002	Jan 15, 2003	no	ABILENE, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SOUTHWESTERN ADVISORY GROUP	WELLS FARGO ADVISORS	Sep 6, 2017	Aug 14, 2017	-23	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	SOUTHWESTERN ADVISORY GROUP	Mar 11, 2016	Mar 23, 2016	12	Firm change	Ibd to new firm
FIRST ALLIED ADVISORY SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 12, 2014	Jan 19, 2016	433	Firm change after gap	Other
GREENBOOK INVESTMENT MANAGEMENT, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Oct 7, 2010	Sep 30, 2010	-7	Firm change	Other
XELAN FINANCIAL PLANNING, INC.	GREENBOOK INVESTMENT MANAGEMENT, INC.	Dec 31, 2004	Feb 10, 2005	41	Firm change	Other
XELAN INVESTMENT SERVICES, INC.	XELAN FINANCIAL PLANNING, INC.	Jan 15, 2003	Jan 13, 2003	-2	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6363:282950:TX:2016-03-11	Mar 11, 2016	Mar 23, 2016	STEPHENVILLE, TX	Firm change

Relationships

Registered with (7)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Aug 14, 2017 to presentfactForm ADV
→ SOUTHWESTERN ADVISORY GROUPRegistered adviserregistration: previous registration
Mar 23, 2016 to Sep 6, 2017factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 19, 2016 to Mar 11, 2016factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Sep 30, 2010 to Nov 12, 2014factForm ADV
→ GREENBOOK INVESTMENT MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 10, 2005 to Oct 7, 2010factForm ADV
→ XELAN FINANCIAL PLANNING, INC.Registered adviserregistration: previous registration
Jan 13, 2003 to Dec 31, 2004factForm ADV
→ XELAN INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Feb 12, 2002 to Jan 15, 2003factForm ADV

Dated events

No dated event names this entity yet.