Philip D. 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.
Philip David Harris, who also goes by Phil Harris, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1992. Philip had worked at 8 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2013 - January 16, 2014
CERTUS INVESTMENT ADVISORS, LLC
February 29, 2012 - January 16, 2014
CERTUSSECURITIES, INC.
December 19, 2003 - January 5, 2007
FIRST LEGACY SECURITIES, LLC
May 9, 2001 - December 9, 2003
BB&T INVESTMENT SERVICES, INC.
June 24, 1997 - April 20, 2001
MORGAN STANLEY DW INC.
June 2, 1997 - June 24, 1997
MORGAN STANLEY DW INC.
August 4, 1995 - June 5, 1997
MORGAN KEEGAN & COMPANY, LLC
March 25, 1994 - July 21, 1995
THE ROBINSON-HUMPHREY COMPANY, LLC
October 7, 1993 - March 14, 1994
FIRST UNION BROKERAGE SERVICES, INC.
March 6, 1992 - October 8, 1993
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CERTUS INVESTMENT ADVISORS, LLC
CRD#: 159221 / SEC#: 801-76679
Contact information
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.
