Geoffrey E. 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.
Geoffrey Eric Harris, CFA was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1995. Geoffrey had worked at 7 firms and has passed the Series 63, Series 79TO, 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 21, 2015 - October 30, 2023
ARCADIA SECURITIES, LLC
October 4, 2011 - April 14, 2014
CANTOR FITZGERALD & CO.
June 1, 2009 - August 30, 2011
GLEACHER & COMPANY SECURITIES, INC.
February 12, 2008 - November 4, 2008
JEFFERIES LLC
April 1, 1999 - April 10, 2002
UBS SECURITIES LLC
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
February 6, 1995 - March 16, 1999
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ARCADIA SECURITIES, LLC
CRD#: 44656 / SEC#: , 8-50764
Contact information
FINRA licenses (40 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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