Christopher M. Harrison
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.
Christopher Mark Harrison was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1987. Christopher had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2015 - March 17, 2017
NUVEEN SECURITIES, LLC
April 20, 2009 - March 21, 2011
MUFG SECURITIES AMERICAS INC.
September 8, 2008 - January 27, 2009
NEXBANK SECURITIES INC
September 16, 2003 - February 2, 2006
RAYMOND JAMES & ASSOCIATES, INC.
March 19, 1999 - September 16, 2003
BNY CAPITAL MARKETS INC.
May 1, 1992 - November 10, 1998
DB ALEX. BROWN LLC
February 12, 1991 - May 1, 1992
J.P. MORGAN SECURITIES LLC
July 19, 1990 - March 5, 1991
KIDDER, PEABODY & CO. INCORPORATED
July 21, 1987 - March 3, 1990
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
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 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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