Brian R. Harris
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.
Brian Richard Harris was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1986. Brian had worked at 8 firms and has passed the Series 63, SIE, 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 21, 2010 - May 29, 2020
LADDER CAPITAL SECURITIES LLC
September 20, 2006 - September 5, 2007
UBS ASSET MANAGEMENT (US) INC.
July 13, 1999 - June 6, 2006
UBS SECURITIES LLC
March 11, 1996 - May 13, 1999
CREDIT SUISSE SECURITIES (USA) LLC
December 20, 1995 - March 12, 1996
CITIGROUP GLOBAL MARKETS INC.
July 10, 1991 - April 28, 1994
DAIWA CAPITAL MARKETS AMERICA INC.
November 5, 1988 - March 30, 1989
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
September 24, 1986 - November 3, 1988
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
LADDER CAPITAL SECURITIES LLC
CRD#: 151403 / SEC#: , 8-68368
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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