Sean A. Harris
Professional summary
Sean Anthony Harris is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2002. Sean has worked at 9 firms and has passed the Series 63, Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Anthony Harris's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 23, 2024 - Present
EQUITABLE DISTRIBUTORS, LLC
Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262June 23, 2020 - June 4, 2024
INTEGRATED FINANCIAL SOLUTIONS, PLLC
August 2, 2018 - April 16, 2020
TANDEM WEALTH ADVISORS
April 20, 2017 - July 17, 2018
BENEFIT FINANCIAL SERVICES GROUP
November 18, 2015 - January 10, 2017
ONEAMERICA SECURITIES, INC.
October 28, 2015 - January 10, 2017
ONEAMERICA SECURITIES, INC.
February 22, 2013 - May 27, 2015
FISHER INVESTMENTS
April 10, 2012 - December 18, 2012
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - December 18, 2012
VOYA FINANCIAL ADVISORS, INC.
May 27, 2005 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
May 18, 2005 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
June 7, 2002 - April 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 9, 2002 - April 19, 2005
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
(8/27/2024)
(8/28/2024)
(8/28/2024)
Exams
Series 6TO
Date: 8/22/2024
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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