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JH

James S. Harris

Some features on this profile are disabled
CRD#: 2358951
JH

Professional summary

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

James is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, James had worked at 3 firms, which includes ROCKCREST SECURITIES L.L.C., BLUEBONNET SECURITIES INC., 1ST GLOBAL CAPITAL CORP..

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

July 3, 1996 - July 2, 2001

ROCKCREST SECURITIES L.L.C.

BD
CRD#: 41089
DALLAS, TX
Past

July 10, 1995 - June 28, 1996

BLUEBONNET SECURITIES, INC.

BD
CRD#: 15957
Past

August 9, 1993 - June 8, 1995

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX

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
IAR
Series 65
Date: 7/8/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/4/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/11/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/4/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/28/1996
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/7/1993
General Securities Principal Examination

Current Firm

RS
ROCKCREST SECURITIES L.L.C.
ROCKCREST SECURITIES L.L.C.

CRD#: 41089 / SEC#: , 8-49292

BD
Cancelled by SEC on 11/30/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 04/15/1996
Firm type
Limited Liability Company
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ROCKCREST COMPANIES, INC.STOCKHOLDER
FULTON, KERRY JAMESEXECUTIVE VICE PRESIDENT, MARKETING AND SALES835954
HARRIS, JAMES SHERIDANPRESIDENT AND CHIEF EXECUTIVE OFFICER2358951

Disclosures

Regulatory Event3

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

ROCKCREST SECURITIES L.L.C.

CRD#: 41089

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