Hal R. 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.
Hal Richard Harris was a registered financial professional .
Hal is a previously registered financial professional and started their career in finance in 1984. Hal had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2015 - January 17, 2017
AMERITAS INVESTMENT COMPANY, LLC
June 4, 2015 - January 17, 2017
AMERITAS INVESTMENT COMPANY, LLC
August 18, 2014 - May 26, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 14, 2014 - May 26, 2015
TD AMERITRADE, INC.
August 13, 2014 - May 26, 2015
TD AMERITRADE, INC.
October 15, 2013 - December 2, 2013
NORTHERN LIGHTS DISTRIBUTORS, LLC
May 2, 2013 - September 5, 2013
VALIC FINANCIAL ADVISORS, INC.
April 8, 2013 - September 5, 2013
VALIC FINANCIAL ADVISORS, INC.
June 9, 2006 - October 28, 2011
SECURIAN FINANCIAL SERVICES, INC.
May 28, 1999 - December 5, 2005
SECURITY DISTRIBUTORS
June 24, 1997 - July 22, 1997
MORGAN STANLEY DW INC.
July 31, 1993 - May 4, 1999
CITIGROUP GLOBAL MARKETS INC.
January 27, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
May 4, 1990 - January 30, 1992
UBS FINANCIAL SERVICES INC.
October 20, 1989 - March 3, 1990
MORGAN STANLEY DW INC.
April 13, 1988 - November 4, 1988
TP ICAP GLOBAL MARKETS AMERICAS LLC
September 20, 1984 - March 22, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
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
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
