Harrison L. Price
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.
Harrison Lee Price, who also goes by Harry Lee Price, was a registered financial professional .
Harrison is a previously registered financial professional and started their career in finance in 2001. Harrison had worked at 7 firms and has passed the Series 63, SIE, Series 79, 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
July 23, 2013 - February 11, 2015
INDEPENDENT INVESTMENT BANKERS, CORP.
April 4, 2011 - November 1, 2012
NEXBANK SECURITIES INC
February 25, 2008 - March 3, 2008
STOUT CAPITAL, LLC
February 25, 2008 - October 7, 2011
BDO CAPITAL ADVISORS, LLC
May 11, 2005 - March 21, 2006
HILLTOP SECURITIES INC.
May 22, 2002 - January 3, 2005
XSG CORPORATE FINANCE, LLC
March 9, 2001 - September 27, 2001
KPMG CORPORATE FINANCE 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
INDEPENDENT INVESTMENT BANKERS, CORP.
CRD#: 154134 / SEC#: , 8-68609
Contact information
FINRA licenses (51 States and Territories)
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.
