Arlie W. Harris
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arlie Wayne Harris was a registered financial professional .
Arlie is a previously registered financial professional and started their career in finance in 1981. Arlie had worked at 12 firms and has passed the Series 66, Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2014 - December 18, 2014
STERLING ADVISOR GROUP
September 25, 2008 - November 7, 2013
WOODSTOCK FINANCIAL GROUP, INC.
September 25, 2008 - November 7, 2013
WOODSTOCK FINANCIAL GROUP, INC.
March 14, 2008 - September 12, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 11, 2008 - September 12, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 5, 2007 - March 5, 2008
WOODSTOCK FINANCIAL GROUP, INC.
November 5, 2007 - March 5, 2008
WOODSTOCK FINANCIAL GROUP, INC.
December 20, 2005 - October 24, 2007
ZECCO TRADING, INC.
January 20, 2005 - December 7, 2005
FINANCIAL WEST GROUP
October 24, 2002 - December 7, 2005
FINANCIAL WEST GROUP
April 2, 2001 - October 2, 2002
HIGH MARK SECURITIES, INC.
March 28, 2000 - April 2, 2001
SIGMA FINANCIAL CORPORATION
March 21, 2000 - March 28, 2000
AMERICAN GENERAL SECURITIES INCORPORATED
March 5, 1998 - March 23, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 17, 1996 - January 26, 1998
WMA SECURITIES, INC.
January 10, 1995 - September 1, 1995
NORTH AMERICAN MANAGEMENT, INC.
June 29, 1989 - December 18, 1992
NORTH AMERICAN MANAGEMENT, INC.
November 23, 1982 - June 24, 1989
PFS INVESTMENTS INC.
October 31, 1981 - May 27, 1982
RAYMOND JAMES FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STERLING ADVISOR GROUP
CRD#: 147357 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 265 |
| AUM (Assets Under Management) | $ 11,650,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
