Robert Charles Harris
Professional Summary
Robert Charles Harris, who also goes by Bob Harris, is a registered financial advisor currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska and ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio. Robert is registered as a RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 6, Series 51, Series 4 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bob Harris
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
35 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ULTIMUS FUND DISTRIBUTORS, LLC
Contact Information
Main Address
225 Pictoria Drive Suite 450, Cincinnati, OH 45246Mailing Address
225 Pictoria Drive Suite 450, Cincinnati, OH 45246Phone Number
(513) 587-3400Established
Ohio since 05/31/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
(4/20/2021)
(4/20/2021)
(4/20/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Aug 2001Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1991About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Robert Charles Harris's CRS (Customer Relationship Summary).
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