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AH

Anthony J. Harris

PT ASSET MANAGEMENT
Chicago, IL 60661
Some features on this profile are disabled
CRD#: 4457220
AH

Professional summary

Anthony James Harris, who also goes by Tony Harris, is a registered financial advisor currently at PT ASSET MANAGEMENT, LLC located in Chicago, Illinois and ALPS DISTRIBUTORS, INC. located in Chicago, Illinois.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Anthony has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tony Harris

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.
PT Asset Management; Investment-Related; 500 W Madison St #500 Chicago, IL 60661; Asset Management; Senior Portfolio Manager; 05/01/2009; 160 HRS/MON; 130 HRS/MON During Trading Hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony James Harris's CRS (Customer Relationship Summary).
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

September 16, 2011 - Present

PT ASSET MANAGEMENT, LLC

Office #1: 500 W. Madison Street Suite 500, Chicago, IL 60661
RIA
CRD#: 107619
Chicago, IL
Current

February 3, 2025 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 500 W. Madison Street Suite 500, Chicago, IL 60661
BD
CRD#: 16853
Chicago, IL
Past

September 16, 2011 - December 31, 2017

PT ASSET MANAGEMENT, LLC

RIA
CRD#: 107619
CHICAGO, IL
Past

May 27, 2009 - January 31, 2025

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

BD
CRD#: 36155
CHICAGO, IL
Past

February 6, 2009 - May 21, 2009

HS & CO., INC.

BD
CRD#: 42612
CHICAGO, IL
Past

November 1, 2003 - February 15, 2007

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
CHICAGO, IL
Past

April 10, 2003 - November 1, 2003

HARRIS NESBITT CORP.

BD
CRD#: 7299
CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PA
PT ASSET MANAGEMENT, LLC
BETZOLD BERG INVESTMENT MANAGEMENT INC | PTMR ADVISORS, LLC (RELYING ADVISER) | PT ASSET MANAGEMENT, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, INC. | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | PERFORMANCE TRUST ASSET MANAGEMENT, LLC | BETZOLD INVESTMENT GROUP, INC. | BETZOLD BERG INVESTMENT MANAGEMENT, INC.

CRD#: 107619 / SEC#: 801-46031

RIA
Registered Investment Advisory firm - (3/11/1994 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR
Illinois
(9/16/2011)
RR
Illinois
(2/3/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/15/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/23/2003
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 7
Date: 4/8/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PT ASSET MANAGEMENT, LLC
BETZOLD BERG INVESTMENT MANAGEMENT INC | PTMR ADVISORS, LLC (RELYING ADVISER) | PT ASSET MANAGEMENT, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, INC. | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | PERFORMANCE TRUST ASSET MANAGEMENT, LLC | BETZOLD INVESTMENT GROUP, INC. | BETZOLD BERG INVESTMENT MANAGEMENT, INC.

CRD#: 107619 / SEC#: 801-46031

RIA
Registered Investment Advisory firm - (3/11/1994 Approved)
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Contact information

Main Address
500 W. Madison Street Suite 500, Chicago, IL 60661
Mailing Address
Phone number
(312) 521-1000
Established
Firm type
Fiscal year end
# of Employees
52

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PTAM - FORM ADV PART 2 - MARCH 2023 (3/31/2025)

Regulatory assets under management

Total Number of Accounts6
AUM (Assets Under Management)$ 9,587,215,582

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

PT ASSET MANAGEMENT, LLC

CRD#: 107619Chicago, IL 60661

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