Titus H. 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.
Titus Holliday Harris JR, who also goes by Titus Holiday Harris Jr, was a registered financial advisor .
Titus is a previously registered financial advisor and started their career in finance in 1965. Titus had worked at 11 firms and has passed the Series 63, Series 3, Series 1, Series 27, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2002 - September 21, 2006
SMH CAPITAL ADVISORS LLC
February 1, 2000 - September 21, 2006
SANDERS MORRIS LLC
February 22, 1994 - February 1, 2000
HARRIS WEBB & GARRISON, INC.
August 26, 1991 - February 18, 1994
FINANCIAL SQUARE PARTNERS
September 4, 1990 - August 27, 1991
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
September 1, 1987 - September 1, 1988
BOETTCHER & COMPANY, INC.
January 7, 1983 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
November 4, 1971 - May 10, 1983
E. F. HUTTON & COMPANY INC
January 4, 1971 - November 26, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
September 24, 1965 - March 19, 1971
GOODBODY & CO. INCORPORATED
Primary Firm SEC Registration
SMH CAPITAL ADVISORS LLC
CRD#: 108344 / SEC#: 801-54089
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: 11/23/1959
Registered Representative ExaminationSeries 12
Date: 4/22/1965
NYSE Branch Manager ExaminationCurrent Firm
SMH CAPITAL ADVISORS LLC
CRD#: 108344 / SEC#: 801-54089
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 171 |
| AUM (Assets Under Management) | $ 503,081,102 |
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.
