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SH

Sam E. Harris

Some features on this profile are disabled
CRD#: 2109064
SH

Professional summary

Sam Ernest Harris was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Sam is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Sam had worked at 3 firms, which includes QUESTRON SECURITIES INC., CARTWRIGHT AND WALKER SECURITIES INCORPORATED, SOUTHERN CALIFORNIA SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 30, 1992 - February 14, 1997

QUESTRON SECURITIES, INC.

BD
CRD#: 29730
SHERMAN OAKS, CA
Past

June 12, 1991 - April 14, 1992

CARTWRIGHT AND WALKER SECURITIES, INCORPORATED

BD
CRD#: 23504
LOS ANGELES, CA
Past

May 24, 1991 - July 16, 1991

SOUTHERN CALIFORNIA SECURITIES, INC.

BD
CRD#: 26503
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/2/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 5/23/1991
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 2/10/1992
Direct Participation Programs Principal Examination

Current Firm

QS
QUESTRON SECURITIES, INC.
QUESTRON SECURITIES, INC.

CRD#: 29730 / SEC#: , 8-44512

BD
Terminated by SEC on 05/09/1997
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 11/20/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

QUESTRON SECURITIES, INC.

CRD#: 29730

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