CH
Curtis A. Harris
RICE FINANCIAL PRODUCTS COMPANY
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 1444370
CH
Professional summary
Curtis Alexander Harris is a registered financial professional currently at RICE FINANCIAL PRODUCTS COMPANY located in Chicago, Illinois.
Curtis is registered as a RR (Registered Representative) and started their career in finance in 1989. Curtis has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Curtis Alexander Harris's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 7, 2018 - Present
RICE FINANCIAL PRODUCTS COMPANY
Office #1: 444 W Lake Street 17th Floor, Chicago, IL 60606Office #2: 2200 Post Oak Blvd. Suite 1000, Houston, TX 77056Office #3: 990 Biscayne Blvd Office 503, Miami, FL 33132Office #4: 515 S. Flower Street 36th Floor, Los Angeles, CA 90071BD
CRD#: 21606
Chicago, IL
Past
May 3, 2016 - September 12, 2018
ACADEMY SECURITIES, INC.
BD
CRD#: 17433
NEW YORK, NY
Past
May 26, 2011 - August 17, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
January 4, 2000 - May 24, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 31, 1991 - October 1, 1996
MURIEL SIEBERT & CO., LLC
BD
CRD#: 5376
NEW YORK, NY
Past
June 26, 1989 - January 4, 1991
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
April 18, 1989 - May 23, 1989
WR LAZARD, LAIDLAW INCORPORATED
BD
CRD#: 6010
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/7/2018)
RR
Alaska(9/7/2018)
RR
Arizona(9/7/2018)
RR
Arkansas(9/7/2018)
RR
California(9/7/2018)
RR
Colorado(9/7/2018)
RR
Connecticut(9/7/2018)
RR
Delaware(9/7/2018)
RR
District of Columbia(9/7/2018)
RR
Florida(9/7/2018)
RR
Georgia(9/7/2018)
RR
Hawaii(9/7/2018)
RR
Idaho(9/7/2018)
RR
Illinois(9/7/2018)
RR
Indiana(9/7/2018)
RR
Iowa(9/7/2018)
RR
Kansas(9/7/2018)
RR
Kentucky(9/7/2018)
RR
Louisiana(9/7/2018)
RR
Maine(9/7/2018)
RR
Maryland(9/7/2018)
RR
Massachusetts(9/7/2018)
RR
Michigan(9/7/2018)
RR
Minnesota(9/7/2018)
RR
Mississippi(9/7/2018)
RR
Missouri(9/7/2018)
RR
Montana(9/7/2018)
RR
Nebraska(9/7/2018)
RR
Nevada(9/7/2018)
RR
New Hampshire(9/7/2018)
RR
New Jersey(9/7/2018)
RR
New Mexico(9/7/2018)
RR
New York(9/7/2018)
RR
North Carolina(9/11/2018)
RR
North Dakota(9/7/2018)
RR
Ohio(9/7/2018)
RR
Oklahoma(9/7/2018)
RR
Oregon(9/7/2018)
RR
Pennsylvania(9/7/2018)
RR
Puerto Rico(9/7/2018)
RR
Rhode Island(9/7/2018)
RR
South Carolina(9/7/2018)
RR
South Dakota(9/7/2018)
RR
Texas(9/7/2018)
RR
Utah(9/7/2018)
RR
Vermont(9/7/2018)
RR
Virgin Islands(9/7/2018)
RR
Virginia(9/7/2018)
RR
Washington(9/7/2018)
RR
West Virginia(9/7/2018)
RR
Wisconsin(9/7/2018)
RR
Wyoming(9/7/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
RICE FINANCIAL PRODUCTS COMPANY
APEX PRYOR SECURITIES, A DIVISION OF RICE FINANCIAL PRODUCTS CO | RJR SECURITIES, INC. | RICE SECURITIES, LLC | RICE FINANCIAL PRODUCTS COMPANY | APEX SECURITIES, INC.
CRD#: 21606 / SEC#: , 8-39085
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4235 Hillsboro Pike Suite 300, Nashville, TN 37215
Mailing Address
3 Columbus Circle 15th Fl, New York, NY, 10019
Phone number
(212) 908-9200
Established
Delaware since 06/15/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
