Gwendolyn N. 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.
Gwendolyn Norah Harris, who also goes by Gwendolyn N Harris, Wendy Norah/christine Harris, Gwendolyn Norah Nielsen, was a registered financial professional .
Gwendolyn is a previously registered financial professional and started their career in finance in 2003. Gwendolyn had worked at 2 firms and has passed the Series 63, Series 32, Series 55 and Series 17 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2012 - May 23, 2013
DAVY SECURITIES
February 19, 2003 - March 13, 2012
GOLDMAN SACHS & CO. LLC
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
Series 55
Date: 6/12/2006
Limited Representative-Equity Trader ExamSeries 17
Date: 2/17/2003
Limited Registered Representative ExaminationCurrent Firm
DAVY SECURITIES
CRD#: 131901 / SEC#: , 8-66522
Contact information
FINRA licenses (3 States and Territories)
Documents
Red Flags
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