Michael 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.
Michael Walter Harris was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 4 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 1987 - October 4, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
November 13, 1984 - April 9, 1987
PFG SECURITIES, INC.
May 14, 1984 - October 31, 1984
TITAN/VALUE EQUITIES GROUP, INC.
July 5, 1983 - June 22, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
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
SOUTHMARK FINANCIAL SERVICES, INC.
CRD#: 6518 / SEC#: , 8-31808
Contact information
Documents
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.
