Carla L. Harris
Professional summary
Carla Leslie Harris is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Austin, Texas.
Carla is registered as a RR (Registered Representative) and started their career in finance in 1989. Carla has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carla Leslie Harris's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 24, 2016 - Present
PIMCO INVESTMENTS LLC
Office #1: 401 Congress Avenue Frost Bank Tower, Austin, TX 78701April 18, 2012 - August 19, 2016
ALPHAMAX DISTRIBUTORS, L.L.C.
November 22, 1999 - March 28, 2012
NUVEEN SECURITIES, LLC
November 9, 1998 - April 26, 1999
IFMG SECURITIES, INC.
October 8, 1997 - November 15, 1999
BOFA DISTRIBUTORS, INC.
January 21, 1993 - December 31, 1997
IFMG SECURITIES, INC.
November 1, 1989 - December 17, 1992
KEMPER FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/24/2016)
Exams
FINRA
Current Firm
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
Red Flags
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