Don L. 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.
Don Leslie Harris was a registered financial advisor .
Don is a previously registered financial advisor and started their career in finance in 1968. Don had worked at 4 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 1, Series 4 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 2, 2007 - May 5, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - May 5, 2009
MORGAN STANLEY & CO. LLC
August 23, 1983 - April 2, 2007
MORGAN STANLEY DW INC.
February 24, 1978 - April 2, 2007
MORGAN STANLEY DW INC.
September 7, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
December 2, 1968 - November 10, 1973
BLYTH EASTMAN DILLON & CO. INCORPORATED
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 15
Date: 1/31/1985
Foreign Currency Options ExaminationSeries 5
Date: 11/24/1981
Interest Rate Options ExaminationPC
Date: 2/6/1979
AMEX Put and Call ExamSeries 1
Date: 11/22/1968
Registered Representative ExaminationCurrent Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
Red Flags
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