Howard Patrick Harris
CFP®Professional Summary
Howard Patrick Harris, CFP®, who also goes by Pat Harris, is a registered financial advisor currently at BLACK OAK SECURITIES, INC. located in Macomb, Illinois. Howard is registered as a RR (Registered Representative) and started their career in finance in 1993. Howard has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Pat Harris
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
BLACK OAK SECURITIES, INC.
Contact Information
Main Address
707 Carroll Street, Suite C, Pawnee, IL 62558Mailing Address
707 Carroll Street, Suite C P.o. Box 590, Pawnee, IL 62558Phone Number
(217) 498-7876Established
Illinois since 09/25/1992Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (8 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GROSS, DWAN N | PRESIDENT & CHIEF COMPLIANCE OFFICER | 5985005 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(8/27/2012)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1993About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Howard Patrick Harris's CRS (Customer Relationship Summary).
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