Garrard 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.
Garrard Harris III, who also goes by Garrard Harris, Garrard Harris Cervoni III, Garrard Harris III Cervoni, was a registered financial professional .
Garrard is a previously registered financial professional and started their career in finance in 1981. Garrard had worked at 9 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2006 - December 11, 2014
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
October 16, 2006 - December 11, 2014
UBS FINANCIAL SERVICES INC.
May 20, 2002 - October 17, 2006
R-G INVESTMENTS CORPORATION
March 3, 1995 - May 24, 2002
ORIENTAL FINANCIAL SERVICES LLC
June 1, 1992 - January 18, 1994
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
January 15, 1992 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
June 1, 1990 - January 15, 1992
CLARK MELVIN SECURITIES CORPORATION
October 30, 1989 - June 12, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 1981 - November 14, 1989
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
Red Flags
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