Roy B. 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.
Roy Bernard Harris, who also goes by Roy Bernard II Harris, was a registered financial advisor .
Roy is a previously registered financial advisor and started their career in finance in 1982. Roy had worked at 5 firms and has passed the Series 63 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 17, 2013 - December 9, 2013
IFS SECURITIES
January 29, 2013 - August 24, 2013
NEXT FINANCIAL GROUP, INC.
January 22, 2013 - July 25, 2013
NEXT FINANCIAL GROUP, INC.
January 1, 2008 - October 15, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - October 15, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 13, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
August 4, 1983 - January 3, 2008
A. G. EDWARDS & SONS, INC.
September 24, 1982 - June 20, 1983
EDWARD JONES
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
IFS SECURITIES
CRD#: 40375 / SEC#: , 8-49020
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Financial | 1 |
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.
