Harris I. Sufian
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.
Harris Ian Sufian was a registered financial professional .
Harris is a previously registered financial professional and started their career in finance in 1986. Harris had worked at 8 firms and has passed the Series 63, Series 55, Series 3, Series 7, Series 14, Series 8 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
June 7, 2011 - October 26, 2012
MPS FIXED INCOME LLC
May 14, 2009 - May 8, 2013
MPS GLOBAL SECURITIES, LLC
February 25, 2002 - October 3, 2013
FIRST NEW YORK SECURITIES L.L.C.
October 9, 1998 - February 22, 2002
ITG EXECUTION SERVICES, INC.
April 17, 1996 - August 11, 1997
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
June 20, 1994 - August 2, 1994
AMT CAPITAL SERVICES, INC.
January 9, 1987 - November 1, 1988
J.P. MORGAN EQUITIES INC.
May 20, 1986 - October 13, 1992
JPMSI
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 55
Date: 3/8/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 4/23/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MPS FIXED INCOME LLC
CRD#: 154096 / SEC#: , 8-68607
Contact information
Documents
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.
