Kenneth C. 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.
Kenneth Carter Harris, who also goes by Carter Harris, Kenneth Carter Harris, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1996. Kenneth had worked at 10 firms and has passed the Series 63, Series 72, Series 79TO, Series 50, 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
April 3, 2019 - March 11, 2022
THOMAS CAPITAL GROUP, INC.
October 5, 2018 - April 2, 2019
PICKWICK CAPITAL PARTNERS, LLC
July 17, 2015 - October 7, 2018
TRITON PACIFIC CAPITAL, LLC
September 9, 2013 - July 6, 2015
MORGAN JOSEPH TRIARTISAN LLC
July 2, 2012 - September 10, 2013
VIRTU AMERICAS LLC
January 3, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
January 19, 2006 - January 3, 2011
KNIGHT CAPITAL MARKETS LLC
April 8, 2002 - January 19, 2006
NOMURA SECURITIES INTERNATIONAL, INC.
September 3, 1996 - July 18, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 1996 - July 18, 2001
MERRILL LYNCH GOVERNMENT SECURITIES 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
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
THOMAS CAPITAL GROUP, INC.
CRD#: 45180 / SEC#: , 8-50986
Contact information
FINRA licenses (11 States and Territories)
Red Flags
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