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SH

Stanley Harris

ALLIANCE-ONE INVESTMENTS
Tulsa, OK 74116
Some features on this profile are disabled
CRD#: 2952529
SH

Professional summary

Stanley Harris is a registered financial professional currently at ALLIANCE-ONE INVESTMENTS, LLC located in Tulsa, Oklahoma.

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

August 11, 2017 - Present

ALLIANCE-ONE INVESTMENTS, LLC

Office #1: 4000 N Mingo Rd, Tulsa, OK 74116
BD
CRD#: 286025
Tulsa, OK
Past

February 27, 2014 - January 2, 2015

NEW ENGLAND SECURITIES

BD
CRD#: 615
CHARLOTTE, NC
Past

February 27, 2014 - June 30, 2016

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
CHARLOTTE, NC
Past

January 22, 2014 - August 11, 2017

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
CHARLOTTE, NC
Past

April 5, 2013 - May 31, 2013

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CHARLOTTE, NC
Past

August 7, 2006 - April 30, 2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CHARLOTTE, NC
Past

October 3, 1997 - August 18, 2004

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/15/1997
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 6
Date: 4/4/2013
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLIANCE-ONE INVESTMENTS, LLC
ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: , 8-69868

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

Main Address
4000 N Mingo Rd, Tulsa, OK 74116
Mailing Address
4000 N Mingo Rd, Tulsa, OK 74116
Phone number
(918) 281-1820
Established
Delaware since 10/20/2016
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCE-ONE HOLDINGS, LLCSOLE MEMBER
ARBO, WILLIAM CHARLESCEO/CHIEF FINANCIAL OFFICER1773016
TOOMEY, JAY ALANCHIEF COMPLIANCE OFFICER2514959

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

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025Tulsa, OK 74116

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