Chris R. 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.
Chris Raymond Harris was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 1972. Chris had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 1, Series 53, F04, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2014 - November 27, 2017
QUINCY CASS ASSOCIATES, INCORPORATED
October 9, 2014 - November 27, 2017
QUINCY CASS ASSOCIATES, INCORPORATED
September 20, 2011 - October 17, 2012
LPL FINANCIAL LLC
May 24, 2011 - October 17, 2012
LPL FINANCIAL LLC
March 15, 2006 - June 2, 2009
NEXCORE FINANCIAL SERVICES, INCORPORATED
December 2, 2005 - June 2, 2009
NEXCORE CAPITAL, INC.
October 13, 2004 - July 22, 2005
SECU BROKERAGE SERVICES
June 10, 2003 - December 2, 2003
SYNDICATED CAPITAL, INC.
June 22, 2001 - August 7, 2002
SCHONFELD SECURITIES, LLC
April 8, 1999 - June 18, 2001
QUINCY CASS ASSOCIATES, INCORPORATED
November 18, 1996 - March 20, 1999
PACIFIC CONTINENTAL SECURITIES CORPORATION
April 9, 1990 - December 30, 1994
UNITED CALIFORNIA SECURITIES, INC.
March 15, 1988 - November 6, 1989
CITIGROUP GLOBAL MARKETS INC.
July 17, 1985 - March 31, 1988
JMC INVESTMENT SERVICES, INC.
November 14, 1980 - March 18, 1987
TCW, INC.
January 10, 1977 - January 14, 1980
KENNEDY, CABOT & CO.
June 5, 1973 - July 6, 1975
BACHE & CO INCORPORATED
January 27, 1972 - June 1, 1973
HAYDEN STONE 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
Series 55
Date: 4/17/2001
Limited Representative-Equity Trader ExamSeries 1
Date: 1/17/1972
Registered Representative ExaminationF04
Date: 8/25/1980
Financial Principal ExaminationCurrent Firm
QUINCY CASS ASSOCIATES, INCORPORATED
CRD#: 686 / SEC#: , 8-5743
Contact information
FINRA licenses (11 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Bond | 1 |
Red Flags
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