Chad 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.
Chad James Harris was a registered financial advisor .
Chad is a previously registered financial advisor and started their career in finance in 2011. Chad had worked at 2 firms and has passed the Series 66 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
February 9, 2012 - December 31, 2012
FIRST WESTERN ADVISORS
February 8, 2012 - December 31, 2012
FIRST WESTERN ADVISORS
July 12, 2011 - November 14, 2011
WADDELL & REED
June 13, 2011 - November 14, 2011
WADDELL & REED
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
FIRST WESTERN ADVISORS
CRD#: 13623 / SEC#: 801-58158, 8-28729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARMEL SANDS, LLC | MEMBER | |
| TERAN, GARY WAYNE | PRESIDENT / DIRECTOR / CEO | 1076442 |
| ANDERSEN, DEE ALLEN | DIRECTOR | 4360129 |
| BURTON, KIRK WATTIS | DIRECTOR | 6136394 |
| GUNDERSEN, BRIAN EDDINGTON | DIRECTOR | 6136404 |
| HOER, MICHAEL A. | DIRECTOR | 5902282 |
| LUNNEN, ROBERT C | DIRECTOR | 3168314 |
| PUGSLEY, MARK W. | DIRECTOR | 5902284 |
| SMART, DAVID HOLT | DIRECTOR | 6155332 |
| TERAN, JEFFREY WAYNE | FINOP | 4706241 |
| WADE, WILLIAM DAVID | DIRECTOR | 6136276 |
| WALLACE, EMILY MARVA | SECRETARY / TREASURER / DIRECTOR | 2907137 |
| WALLACE, EMILY MARVA | CHIEF COMPLIANCE OFFICER | 2907137 |
| WEISENBURGER, GUY DAVID | DIRECTOR | 6136400 |
Disclosures
| Regulatory Event | 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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