Craig R. Fisk
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.
Craig Robert Fisk was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1983. Craig had worked at 15 firms and has passed the Series 65, Series 63, SIE 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
March 22, 2017 - May 31, 2022
HARRISDIRECT LLC
March 22, 2017 - May 31, 2022
E*TRADE SECURITIES LLC
September 19, 2016 - March 17, 2017
SCOTTRADE, INC.
May 28, 2013 - September 19, 2016
ATEL SECURITIES CORPORATION
March 15, 2011 - May 30, 2013
ALPS DISTRIBUTORS, INC.
December 20, 2010 - February 15, 2011
NATIXIS DISTRIBUTION, LLC
July 27, 1998 - February 3, 2009
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
February 12, 1996 - May 8, 1997
MUTUAL SECURITIES, INC.
July 31, 1993 - January 16, 1996
CITIGROUP GLOBAL MARKETS INC.
July 20, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
January 26, 1989 - July 15, 1993
CHARLES SCHWAB & CO., INC.
May 6, 1987 - January 22, 1988
STEINBERG & LYMAN
March 25, 1987 - May 8, 1987
EQUITABLE SECURITIES OF NEW YORK,INC.
December 2, 1986 - April 21, 1987
CITIGROUP GLOBAL MARKETS INC.
August 15, 1985 - January 13, 1986
BROOKS WEINGER ROBBINS & LEEDS INC.
September 21, 1983 - May 9, 1985
THOMSON MCKINNON SECURITIES 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
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
