Jamie L. 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.
Jamie Loren Harris, who also goes by J.l Harris, Jamie L Harris, Jamie Harris, was a registered financial professional .
Jamie is a previously registered financial professional and started their career in finance in 1997. Jamie had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 55, Series 31, Series 7, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2008 - April 14, 2015
MB TRADING
February 6, 2007 - October 13, 2008
LIBERTAS CAPITAL AMERICAS
November 3, 2005 - January 12, 2007
PI CAPITAL
January 26, 2004 - April 26, 2005
CITIGROUP GENEVA CAPITAL STRATEGIES INC.
June 7, 2002 - January 21, 2004
INTERACTIVE BROKERS CORP.
March 21, 2001 - May 31, 2002
RUMSON CAPITAL, LLC
December 15, 1998 - February 12, 2001
PROTRADER SECURITIES L.P.
October 20, 1998 - December 9, 1998
UBS FINANCIAL SERVICES INC.
July 10, 1998 - October 22, 1998
MORGAN STANLEY DW INC.
March 19, 1998 - June 12, 1998
MORGAN STANLEY DW INC.
December 24, 1997 - March 6, 1998
GRUNTAL & CO., L.L.C.
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
Series 55
Date: 8/17/1999
Limited Representative-Equity Trader ExamCurrent Firm
MB TRADING
CRD#: 30330 / SEC#: , 8-44849
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEKING GROUP, INC. | PARENT COMPANY | |
| BLOSSER, MICHAEL JAMES | CHIEF TRADING OFFICER | 4373393 |
| BROWN, BRENTON MACKENZIE | CHIEF INFORMATION OFFICER, EVP | 3177337 |
| CHIODO, MICHAEL J | FINOP | 2097132 |
| CIERO, JESSICA MEI-LING BELOIN | CHIEF COMPLIANCE OFFICER | 4533934 |
| DEMAREST, STEVEN PATRICK | BANK ACCOUNT CONTROLLER | 1978066 |
| DOMINIC, JOHN MARTIN | VP OF TRADING | 2722302 |
| DUSSEAULT, DAVID STANLEY | CHIEF OPERATING OFFICER | 2819891 |
| FIELD, BRIAN DAVID | CHIEF OPERATING OFFICER | 4089325 |
| HAGEN, RICHARD JOHN JR | PRESIDENT | 2185011 |
| LIPSETT, JAMES DAVID JR | EVP (BUSINESS TO BUSINESS) | 2486795 |
Disclosures
| Regulatory Event | 5 |
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.
