Jay 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.
Jay Richard Harris was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1969. Jay had worked at 6 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 1, Series 24, Series 27 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
October 30, 2008 - July 16, 2018
AXIOM CAPITAL MANAGEMENT, INC.
November 3, 1983 - October 29, 2008
GOLDSMITH & HARRIS INCORPORATED
June 1, 1982 - December 1, 1983
BALIS & ZORN INC.
August 14, 1978 - May 7, 1982
PRESCOTT, BALL & TURBEN, INC.
March 10, 1978 - August 14, 1978
PRESCOTT, BALL & TURBEN
October 1, 1969 - April 1, 1978
GOLDMAN SACHS & CO. LLC
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: 9/29/1969
Registered Representative ExaminationSeries 40
Date: 6/25/1973
Registered Principal ExaminationCurrent Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
