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SH

Stephen S. Harris

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CRD#: 1642241
SH

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.

Stephen S Harris, who also goes by Stephen Scott Harris, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Scott Harris

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 25, 2023 - November 18, 2024

MIAC CAPITAL MARKETS LLC

BD
CRD#: 172661
New York, NY
Past

July 6, 2015 - August 11, 2023

MIAC CAPITAL MARKETS LLC

BD
CRD#: 172661
New York, NY
Past

November 1, 2010 - October 15, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 13, 2010 - December 31, 2011

MERRILL LYNCH GOVERNMENT SECURITIES INC.

BD
CRD#: 19693
NEW YORK, NY
Past

March 23, 2010 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

April 28, 2009 - January 4, 2010

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
NEW YORK, NY
Past

March 24, 1987 - May 14, 2009

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/15/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/15/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/10/2009
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/16/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/1/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

MC
MIAC CAPITAL MARKETS LLC
MIAC CAPITAL MARKETS LLC

CRD#: 172661 / SEC#: , 8-69515

BD
Terminated by SEC on 11/17/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/07/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MORTGAGE INDUSTRY ADVISORY COMPANYMEMBER122337
HARRIS, STEPHEN SPRESIDENT1642241
SCHWALJE, GLENN SCOTTCCO2441501
TUCKER, CLARK BOMARPRINCIPAL FINANCIAL OFFICER1977842
TUCKER, CLARK BOMARFINOP1977842
TUCKER, CLARK BOMARPRINCIPAL OPERATIONS OFFICER1977842

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.

Company Information

MIAC CAPITAL MARKETS LLC

CRD#: 172661

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