Steven P. 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.
Steven Paul Harris was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 6 firms and has passed the SIE 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
January 12, 2010 - March 16, 2015
LIQUID CAPITAL SECURITIES, LLC
July 19, 2007 - March 11, 2010
NATWEST MARKETS SECURITIES INC.
June 1, 2006 - July 9, 2007
INSTINET, LLC
August 1, 2000 - June 1, 2006
INSTINET, LLC
April 7, 2000 - August 1, 2000
REUTERS C CORPORATION
April 15, 1996 - November 28, 1998
BARCLAYS CAPITAL 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
LIQUID CAPITAL SECURITIES, LLC
CRD#: 148758 / SEC#: , 8-68064
Contact information
Documents
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.
