John D. 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.
John David Harris was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 8 firms and has passed the Series 65, Series 63, SIE 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
July 20, 2018 - December 18, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 16, 2015 - May 31, 2017
AMERICAN CAPITAL PARTNERS, LLC
November 16, 2012 - December 7, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 8, 2012 - December 7, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 17, 2012 - November 5, 2012
L.M. KOHN & COMPANY
January 17, 2012 - November 5, 2012
L.M. KOHN & COMPANY
January 12, 2011 - January 17, 2012
MIDSOUTH CAPITAL, INC.
June 29, 2009 - December 31, 2010
MIDSOUTH CAPITAL, INC.
June 26, 2009 - January 17, 2012
MIDSOUTH CAPITAL, INC.
December 19, 2007 - June 11, 2009
FIRST LEGACY SECURITIES, LLC
December 19, 2007 - June 11, 2009
FIRST LEGACY SECURITIES, LLC
May 25, 2004 - February 22, 2008
JONES, BYRD, & ATTKISSON, INC.
January 20, 2004 - February 22, 2008
JONES, BYRD, & ATTKISSON, INC.
July 1, 2003 - January 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - January 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
November 25, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 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.
