Timothy E. 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.
Timothy Edward Harris was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1989. Timothy had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2011 - September 17, 2012
ERNST & YOUNG INVESTMENT ADVISERS LLP
September 13, 2005 - December 21, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 13, 2000 - December 21, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 19, 1994 - May 9, 2000
TEACHERS PERSONAL INVESTORS SERVICES, INC.
November 15, 1991 - December 31, 1995
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 5, 1989 - November 13, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 5, 1989 - November 13, 1991
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
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
Current Firm
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
Contact information
SEC notice filing (52 States and Territories)
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.
