Andrew F. 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.
Andrew Fensmark Harris was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1995. Andrew had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 1998 - November 24, 1998
FAS WEALTH MANAGEMENT SERVICES, INC.
November 16, 1995 - August 31, 1998
BILTMORE SECURITIES, INC.
August 30, 1995 - December 6, 1995
WINDSOR REYNOLDS SECURITIES, INC.
April 27, 1995 - August 11, 1995
STRATTON OAKMONT 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
Current Firm
FAS WEALTH MANAGEMENT SERVICES, INC.
CRD#: 10164 / SEC#: , 8-26618
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FAS GROUP, INC. | SHAREHOLDER | |
| DELLAPENNA, GAETON STARK | CHIEF COMPLIANCE OFFICER,PRESIDENT/TREASURER/CFO/CEO | 1287224 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 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.
