Donald B. 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.
Donald Boone Harris was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1970. Donald had worked at 6 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1995 - October 31, 1996
SOUTHERN FINANCIAL GROUP, INC.
February 5, 1981 - June 4, 1981
SALKIN, WELCH & CO., INCORPORATED
June 17, 1980 - January 1, 1995
BROKERS EXCHANGE, INC.
March 13, 1973 - April 30, 1980
E. F. HUTTON & COMPANY INC
December 23, 1971 - January 2, 1974
R. S. DICKSON, POWELL, KISTLER & CRAWFORD
July 9, 1970 - November 25, 1971
LEGG MASON WOOD WALKER, 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 1
Date: 2/19/1964
Registered Representative ExaminationSeries 40
Date: 6/24/1970
Registered Principal ExaminationCurrent Firm
SOUTHERN FINANCIAL GROUP, INC.
CRD#: 16714 / SEC#: , 8-34534
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ATLANTIC SECURITIES EXCHANGE, INC. | OWNERSHIP | |
| BANK, FRANK TOM | EXECUTIVE VICE PRESIDENT/MUNICIPAL PRINCIPAL | 500594 |
| COLLINS, CLELLAND DAVID JR | SECRETARY, EXC. VICE PRES. | 2331596 |
| MAURER, MARK HENRY | EXECUTIVE VICE PRESIDENT/OPERATIONS/DIRECTOR OF COMPLIANCE/ SROP/CROP | 1496683 |
| WOOTEN, RICHARD MCNAIR | CHAIRMAN/CFO, PRESIDENT/CEO |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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.
