Patrice R. Harris
Professional summary
Patrice Roberto Harris was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Patrice is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Patrice had worked at 4 firms, which includes LABRANCHE FINANCIAL SERVICES LLC, PARAGON CAPITAL MARKETS INC., DONALD & CO. SECURITIES INC., GRUNTAL & CO. L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 1997 - August 28, 1998
LABRANCHE FINANCIAL SERVICES, LLC
August 31, 1995 - January 29, 1997
PARAGON CAPITAL MARKETS, INC.
February 19, 1993 - September 6, 1995
DONALD & CO. SECURITIES INC.
April 15, 1991 - January 19, 1993
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
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Exams
Current Firm
LABRANCHE FINANCIAL SERVICES, LLC
CRD#: 7432 / SEC#: , 8-19060
Contact information
Documents
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 | 9 |
Red Flags
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