Charles D. 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.
Charles Demmings Harris was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 8 firms and has passed the 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
October 20, 2016 - July 6, 2017
PATRICK CAPITAL MARKETS, LLC
October 1, 2000 - July 29, 2015
WELLS FARGO CLEARING SERVICES, LLC
September 29, 1997 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
October 20, 1995 - March 20, 1997
ESSEX NATIONAL SECURITIES, LLC
December 9, 1994 - September 25, 1995
FIRST FIDELITY BROKERS, INC.
September 9, 1994 - December 14, 1994
BALTIMORE BANCORP INVESTMENT SERVICES, INC.
March 3, 1987 - July 28, 1994
SECURIAN FINANCIAL SERVICES, INC.
September 25, 1984 - March 5, 1987
THE ADVISORS GROUP, 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
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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