Kevin M. 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.
Kevin Mcclain Harris, CFA was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1998. Kevin had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 31 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
January 3, 2017 - February 15, 2023
TPB WEALTH ADVISORS, LLC
May 6, 2016 - January 3, 2017
REDHAWK OPPORTUNITY PARTNERS
January 27, 2015 - September 17, 2015
TITLEIST CAPITAL, LLC
March 1, 2010 - August 2, 2012
COVENANT
July 1, 2004 - March 5, 2010
FROST BROKERAGE SERVICES, INC.
March 21, 2000 - July 24, 2002
INVESCO DISTRIBUTORS, INC.
December 3, 1998 - January 4, 2000
MORGAN STANLEY DW INC.
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
TPB WEALTH ADVISORS, LLC
CRD#: 150508 / SEC#: 801-70282
Contact information
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/28/2023 | ||
| 01/28/2022 |
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.
