Scott A. 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.
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2019 - January 7, 2020
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
August 5, 2019 - September 10, 2019
NEWEDGE SECURITIES, LLC
March 21, 2018 - October 29, 2019
ADVISORS CAPITAL MANAGEMENT, LLC
August 7, 2014 - December 26, 2017
J. W. COLE ADVISORS, INC.
August 5, 2014 - December 26, 2017
J.W. COLE FINANCIAL, INC.
December 19, 2013 - August 11, 2014
INDEPENDENT FINANCIAL PARTNERS
July 11, 2013 - August 12, 2014
LPL FINANCIAL LLC
January 7, 2013 - October 1, 2013
STRATOS WEALTH PARTNERS, LTD
December 12, 2008 - August 12, 2014
LPL FINANCIAL LLC
January 15, 2003 - September 17, 2008
OSAIC FA, INC.
January 6, 2003 - May 10, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 6, 2003 - September 17, 2008
OSAIC FA, 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
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
CRD#: 109771 / SEC#: 801-21527
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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