Scott D. 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 D Harris, who also goes by Scott Davis Harris, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2004. Scott had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2010 - July 16, 2014
MIDAMERICA FINANCIAL SERVICES, INC.
April 25, 2008 - April 20, 2009
VOYA INVESTMENT MANAGEMENT CO. LLC
April 25, 2008 - April 20, 2009
ING INVESTMENT MANAGEMENT SERVICES LLC
December 20, 2005 - June 5, 2006
PRINCIPAL ASSET MANAGEMENT
August 16, 2005 - December 21, 2005
PRINCIPAL SECURITIES, INC.
April 2, 2004 - June 5, 2006
PRINCIPAL SECURITIES, 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
MIDAMERICA FINANCIAL SERVICES, INC.
CRD#: 47351 / SEC#: , 8-51758
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
