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CH

Christopher M. Harris

BROOKFIELD PRIVATE ADVISORS LLC
Tucson, AZ 85716
Some features on this profile are disabled
CRD#: 2933991
CH

Professional summary

Christopher Michael Harris is a registered financial professional currently at BROOKFIELD PRIVATE ADVISORS LLC located in Tucson, Arizona.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1997. Christopher has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Christopher Michael 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®
None

Experience

Current

October 13, 2010 - Present

BROOKFIELD PRIVATE ADVISORS LLC

Office #1: 2912 N Tucson Blvd, Tucson, AZ 85716Office #2: 3011 Townsgate Rd Suite #330, Westlake Village, CA 91361
BD
CRD#: 151423
Tucson, AZ
Past

February 14, 2008 - August 30, 2010

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
SAN FRANCISCO, CA
Past

October 30, 2006 - December 6, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 9, 2001 - October 28, 2005

MOUNTAINVIEW SECURITIES, LLC

BD
CRD#: 7882
DENVER, CO
Past

January 21, 1999 - March 27, 2001

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

October 27, 1997 - December 31, 1998

FPS BROKER SERVICES, INC.

BD
CRD#: 25065
KING OF PRUSSIA, PA

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
Alabama
(11/14/2013)
RR
Alaska
(12/6/2012)
RR
Arizona
(1/29/2013)
RR
Arkansas
(11/14/2013)
RR
California
(11/10/2010)
RR
Colorado
(1/2/2013)
RR
Connecticut
(11/14/2013)
RR
Delaware
(11/14/2013)
RR
District of Columbia
(11/14/2013)
RR
Florida
(11/14/2013)
RR
Georgia
(11/14/2013)
RR
Hawaii
(1/9/2013)
RR
Idaho
(11/28/2012)
RR
Illinois
(11/14/2013)
RR
Indiana
(11/14/2013)
RR
Iowa
(11/14/2013)
RR
Kansas
(11/14/2013)
RR
Kentucky
(11/14/2013)
RR
Louisiana
(11/14/2013)
RR
Maine
(11/14/2013)
RR
Maryland
(11/14/2013)
RR
Massachusetts
(11/14/2013)
RR
Michigan
(11/14/2013)
RR
Minnesota
(11/14/2013)
RR
Mississippi
(11/14/2013)
RR
Missouri
(11/14/2013)
RR
Montana
(12/3/2012)
RR
Nebraska
(11/14/2013)
RR
Nevada
(2/5/2013)
RR
New Hampshire
(11/25/2013)
RR
New Jersey
(11/14/2013)
RR
New Mexico
(3/26/2013)
RR
New York
(10/13/2010)
RR
North Carolina
(11/14/2013)
RR
North Dakota
(12/11/2012)
RR
Ohio
(11/14/2013)
RR
Oklahoma
(11/14/2013)
RR
Oregon
(1/16/2013)
RR
Pennsylvania
(11/14/2013)
RR
Rhode Island
(11/14/2013)
RR
South Carolina
(11/14/2013)
RR
South Dakota
(11/28/2012)
RR
Tennessee
(11/14/2013)
RR
Texas
(11/14/2013)
RR
Utah
(11/28/2012)
RR
Vermont
(11/14/2013)
RR
Virginia
(11/14/2013)
RR
Washington
(1/9/2013)
RR
West Virginia
(11/14/2013)
RR
Wisconsin
(11/14/2013)
RR
Wyoming
(12/4/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 10/31/1997
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: 11/8/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/24/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BP
BROOKFIELD PRIVATE ADVISORS LLC
BROOKFIELD FINANCIAL | GLOBAL CLIENT GROUP | BROOKFIELD PRIVATE ADVISORS LLC | BROOKFIELD FINANCIAL US, LLC

CRD#: 151423 / SEC#: , 8-68370

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

Main Address
Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021
Mailing Address
Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021
Phone number
(212) 417-7000
Established
Delaware since 07/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BROOKFIELD US INC.MEMBER
BECK, RAFAELCFO & FINANCIAL OPERATIONS PRINCIPAL5718571
LEVI, DAVID WILLIAMCEO AND DIRECTOR2387908
SELIG, PHILIP SCOTTCHIEF COMPLIANCE OFFICER4593048
SRULOWITZ, MARKDIRECTOR6555246

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

BROOKFIELD PRIVATE ADVISORS LLC

CRD#: 151423Tucson, AZ 85716

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