Sidney B. 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.
Sidney Burran Harris, who also goes by Sid Harris, Sidney B. Harris, was a registered financial professional .
Sidney is a previously registered financial professional and started their career in finance in 2000. Sidney had worked at 11 firms and has passed the Series 66, 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
September 11, 2013 - July 14, 2015
BB&T INVESTMENT SERVICES, INC.
September 11, 2013 - July 14, 2015
BB&T INVESTMENT SERVICES, INC.
May 16, 2013 - August 21, 2013
BBVA SECURITIES INC.
April 3, 2013 - August 21, 2013
PNC MANAGED ACCOUNT SOLUTIONS, INC.
February 21, 2013 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 10, 2012 - January 24, 2013
CITIGROUP GLOBAL MARKETS INC.
September 25, 2012 - January 24, 2013
CITIGROUP GLOBAL MARKETS INC.
March 31, 2011 - January 25, 2012
USAA FINANCIAL PLANNING SERVICES
March 31, 2011 - January 25, 2012
USAA FINANCIAL ADVISORS, INC.
October 10, 2007 - November 23, 2010
WELLS FARGO INVESTMENTS, LLC
October 3, 2007 - November 23, 2010
WELLS FARGO INVESTMENTS, LLC
May 8, 2007 - September 18, 2007
HILLTOP SECURITIES INC.
May 8, 2007 - September 18, 2007
HILLTOP SECURITIES INC.
July 18, 2005 - April 26, 2007
WELLS FARGO INVESTMENTS, LLC
October 6, 2004 - July 14, 2005
WELLS FARGO INVESTMENTS, LLC
September 17, 2004 - April 26, 2007
WELLS FARGO INVESTMENTS, LLC
February 17, 2004 - July 12, 2004
BANC ONE SECURITIES CORPORATION
February 13, 2004 - July 12, 2004
BANC ONE SECURITIES CORPORATION
May 4, 2001 - February 20, 2004
WELLS FARGO INVESTMENTS, LLC
January 2, 2000 - May 2, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
BB&T INVESTMENT SERVICES, INC.
CRD#: 33856 / SEC#: 801-106629, 8-46134
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRANCH BANKING AND TRUST COMPANY | SHAREHOLDER | |
| CECIL, ALEXANDER WILSON | CHIEF COMPLIANCE OFFICER | 2319938 |
| CRAM, BRYAN SCOTT | PRESIDENT | 2723431 |
| EARNHARDT, DARREN LEE | CHIEF OPERATING OFFICER | 2356117 |
| EVANS, RICHARD TABB III | DIRECTOR OF SALES/DIRECTOR | 1643552 |
| SAUFLEY, RANDALL BARRETT | CHIEF FINANCIAL OFFICER | 1664935 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
