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SH

Scott A. Harris

Some features on this profile are disabled
CRD#: 4605537
SH

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.

Scott Andrew Harris, who also goes by S. Andrew Harris, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2003. Scott had worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

S. Andrew 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 6, 2019 - January 7, 2020

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

RIA
CRD#: 109771
BRADENTON, FL
Past

August 5, 2019 - September 10, 2019

NEWEDGE SECURITIES, LLC

BD
CRD#: 10674
BRADENTON, FL
Past

March 21, 2018 - October 29, 2019

ADVISORS CAPITAL MANAGEMENT, LLC

RIA
CRD#: 112266
Bradenton, FL
Past

August 7, 2014 - December 26, 2017

J. W. COLE ADVISORS, INC.

RIA
CRD#: 112294
Bradenton, FL
Past

August 5, 2014 - December 26, 2017

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
Bradenton, FL
Past

December 19, 2013 - August 11, 2014

INDEPENDENT FINANCIAL PARTNERS

RIA
CRD#: 125112
BRADENTON, FL
Past

July 11, 2013 - August 12, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
BRADENTON, FL
Past

January 7, 2013 - October 1, 2013

STRATOS WEALTH PARTNERS, LTD

RIA
CRD#: 153184
VENICE, FL
Past

December 12, 2008 - August 12, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
BRADENTON, FL
Past

January 15, 2003 - September 17, 2008

OSAIC FA, INC.

RIA
CRD#: 3978
CLEVELAND, OH
Past

January 6, 2003 - May 10, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

January 6, 2003 - September 17, 2008

OSAIC FA, INC.

BD
CRD#: 3978
CLEVELAND, OH

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/6/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/26/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/4/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MA
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
EFIDUCIARY ADVISOR | STRATEGIC WEALTH MANAGEMENT GROUP | MID ATLANTIC FINANCIAL MANAGEMENT, INC. | MID ATLANTIC CAPITAL CORPORATION | LMK ADVISORS | FORESIGHT GLOBAL INVESTORS, INC.

CRD#: 109771 / SEC#: 801-21527

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Contact information

Main Address
1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-4235
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

MID ATLANTIC FINANCIAL MANAGEMENT WRAP FEE PROGRAM BROCHURE (7/30/2021)
MID ATLANTIC FINANCIAL MANAGEMENT, INC. FIRM BROCHURE (7/30/2021)

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

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

CRD#: 109771

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