Richard A. 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.
Richard Alan Harris was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 11 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2004 - October 31, 2006
CHICAGO INVESTMENT GROUP, LLC
May 31, 2001 - February 5, 2004
PEREGRINE FINANCIALS & SECURITIES, INC.
August 2, 1995 - June 26, 2001
D H BRUSH & ASSOCIATES, INC.
July 9, 1990 - July 5, 1995
REPUBLIC SECURITIES, INC.
August 15, 1988 - May 9, 1989
GULFSTREAM FINANCIAL ASSOCIATES, INC.
April 11, 1988 - August 3, 1988
LEHMAN BROTHERS INC.
May 19, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
March 18, 1985 - May 12, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
September 27, 1982 - March 15, 1985
CITIGROUP GLOBAL MARKETS INC.
February 24, 1978 - July 20, 1990
MORGAN STANLEY DW INC.
November 14, 1972 - February 24, 1978
REYNOLDS SECURITIES, 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 1
Date: 10/28/1972
Registered Representative ExaminationCurrent Firm
CHICAGO INVESTMENT GROUP, LLC
CRD#: 11853 / SEC#: , 8-27507
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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