Ryan 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.
Ryan Douglas Harris was a registered financial advisor .
Ryan is a previously registered financial advisor and started their career in finance in 2000. Ryan had worked at 6 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
January 17, 2006 - November 21, 2006
1717 CAPITAL MANAGEMENT COMPANY
August 30, 2005 - January 11, 2006
SIGNATOR INVESTORS, INC.
May 11, 2005 - August 15, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
January 9, 2004 - July 7, 2004
VOYA FINANCIAL ADVISORS, INC.
April 7, 2003 - December 15, 2003
STATE FARM VP MANAGEMENT CORP.
June 27, 2002 - January 16, 2003
VOYA FINANCIAL ADVISORS, INC.
July 2, 2001 - January 16, 2003
VOYA FINANCIAL ADVISORS, INC.
September 1, 2000 - May 7, 2001
MARQUETTE FINANCIAL GROUP, 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
1717 CAPITAL MANAGEMENT COMPANY
CRD#: 4082 / SEC#: , 8-14657
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 3 |
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.
