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FH

Frederick Harris

EQUITABLE DISTRIBUTORS
New York, NY 10105
Some features on this profile are disabled
CRD#: 2775162
FH

Professional summary

Frederick Harris, ChFC®, who also goes by Frederick Bannister Harris, Derick Harris, is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in New York, New York.

Frederick is registered as a RR (Registered Representative) and started their career in finance in 1996. Frederick has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frederick Bannister Harris | Derick Harris

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frederick Harris's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
ChFC®

Chartered Financial Consultant

Experience

Current

November 20, 2025 - Present

EQUITABLE DISTRIBUTORS, LLC

Office #1: 1345 Avenue Of The Americas, New York, NY 10105
BD
CRD#: 25900
New York, NY
Past

May 22, 2023 - October 9, 2025

PORTSIDE WEALTH GROUP, LLC

RIA
CRD#: 325175
Lakewood, CO
Past

May 18, 2023 - October 31, 2024

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
Salt Lake City, UT
Past

February 11, 2020 - June 15, 2023

TOWNSQUARE CAPITAL, LLC

RIA
CRD#: 288576
Salt Lake City, UT
Past

February 11, 2020 - May 17, 2023

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
Salt Lake City, UT
Past

September 6, 2016 - July 12, 2018

ALLEGIS INVESTMENT ADVISORS, LLC

RIA
CRD#: 157314
South Jordan, UT
Past

January 9, 2015 - March 28, 2019

ALLEGIS INVESTMENT SERVICES, LLC

BD
CRD#: 168557
SOUTH JORDAN, UT
Past

April 3, 2006 - January 9, 2014

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

March 11, 2002 - April 7, 2006

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

July 29, 1996 - June 7, 2000

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Utah
(11/21/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/23/1996
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ED
EQUITABLE DISTRIBUTORS, LLC
AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC

CRD#: 25900 / SEC#: , 8-42123

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
8501 Ibm Drive, Suite 150, Charlotte, NC 28262
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105
Phone number
(212) 314-2137
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EQ HOLDINGS, LLCOWNER
D'AUGUSTE, ARIELLE RACHELGENERAL COUNSEL7252573
KAIS, JAMES MICHAELDIRECTOR2529327
LANE, NICHOLAS BURRITTCHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER4994948
LARUSSA, CHRISTOPHER JOHNCHIEF COMPLIANCE OFFICER4728315
SCANLON, STEPHEN CAULEYDIRECTOR2219308
SCAPPATOR, CANDACE LYNNFINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4697607

Disclosures

Arbitration1

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.

Company Information

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900New York, NY 10105

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