Patrice Roberto Harris
Professional Summary
Patrice Roberto Harris, who also goes by Pat Roberto Harris, was a registered financial advisor. Patrice was a previously registered financial professional and started their career in finance 1991 - 1998. Patrice had worked at 4 firms and has passed the Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Pat Roberto Harris
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
LABRANCHE FINANCIAL SERVICES, INC. | ROBB, PECK, MCCOOEY & CO., INC. | ROBB PECK MCCOOEY CLEARING CORPORATION | LABRANCHE FINANCIAL SERVICES, LLC
Contact Information
Established
New York since 12/27/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LABRANCHE & CO. INC | OWNER | — |
| BURKE, WILLIAM JOSEPH III | CEO | 848502 |
| HAYWARD, ALFRED OWEN JR | DIRECTOR | 2355580 |
| LABRANCHE, GEORGE MICHAEL IV | CHAIRMAN | 2355575 |
| MCCUTCHEON, JEFFREY ALLEN | DIRECTOR | 4586231 |
| OHARE, MICHAEL | MANAGING DIRECTOR | 2120129 |
| TONER, KATHLEEN M | ACTING CHIEF COMPLIANCE OFFICER | 1254334 |
| VESPOLI, ALBERT BENJAMIN | CHIEF FINANCIAL OFFICER | 2447839 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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