David C. 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.
David Craig Harrison, who also goes by David C Harrison, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 15, Series 3 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2020 - July 17, 2020
USAA INVESTMENT SERVICES COMPANY
May 20, 2019 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
February 26, 2019 - July 17, 2020
USAA INVESTMENT SERVICES COMPANY
May 19, 2017 - April 10, 2018
PNC MANAGED ACCOUNT SOLUTIONS, INC.
May 2, 2017 - April 10, 2018
BBVA SECURITIES INC.
January 24, 2000 - May 5, 2017
WELLS FARGO CLEARING SERVICES, LLC
January 24, 2000 - May 5, 2017
WELLS FARGO CLEARING SERVICES, LLC
October 21, 1998 - February 8, 2000
JOSEPHTHAL & CO., INC.
August 15, 1997 - October 5, 1998
H.J. MEYERS & CO., INC.
November 14, 1995 - June 11, 1997
THE BOSTON GROUP
August 25, 1994 - April 12, 1995
A.S. GOLDMEN & CO., INC.
May 8, 1989 - May 23, 1994
J.P. MORGAN SECURITIES LLC
March 24, 1986 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
Series 7TO
Date: 3/12/2024
General Securities Representative ExaminationSeries 15
Date: 3/21/1986
Foreign Currency Options ExaminationSeries 5
Date: 2/21/1986
Interest Rate Options ExaminationCurrent Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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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