Michael J. 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.
Michael James Harris was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2011 - July 2, 2015
BB&T INVESTMENT SERVICES, INC.
May 10, 2011 - July 2, 2015
BB&T INVESTMENT SERVICES, INC.
April 21, 2010 - November 2, 2011
EMPLOYEE BENEFITS INVESTMENT GROUP, INC.
October 5, 2009 - January 19, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - January 19, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
August 27, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
October 31, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
December 19, 2007 - November 3, 2008
M&T SECURITIES, INC.
February 21, 2007 - November 3, 2008
M&T SECURITIES, INC.
February 6, 2001 - February 12, 2007
EMPLOYEE BENEFITS INVESTMENT GROUP, INC.
December 20, 1999 - January 30, 2001
INDUSTRY SAVINGS PLANS, INC.
August 14, 1995 - December 31, 1997
WOODBURY FINANCIAL SERVICES, INC.
June 26, 1995 - August 14, 1995
NATIONAL PLANNING CORPORATION
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
BB&T INVESTMENT SERVICES, INC.
CRD#: 33856 / SEC#: 801-106629, 8-46134
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRANCH BANKING AND TRUST COMPANY | SHAREHOLDER | |
| CECIL, ALEXANDER WILSON | CHIEF COMPLIANCE OFFICER | 2319938 |
| CRAM, BRYAN SCOTT | PRESIDENT | 2723431 |
| EARNHARDT, DARREN LEE | CHIEF OPERATING OFFICER | 2356117 |
| EVANS, RICHARD TABB III | DIRECTOR OF SALES/DIRECTOR | 1643552 |
| SAUFLEY, RANDALL BARRETT | CHIEF FINANCIAL OFFICER | 1664935 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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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