Brian L. 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.
Brian Louis Harris was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2006. Brian had worked at 2 firms and has passed the Series 63, SIE, Series 55 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
September 24, 2015 - January 8, 2018
HBK GLOBAL SECURITIES L.P.
August 21, 2013 - October 8, 2013
HBK GLOBAL SECURITIES L.P.
May 18, 2011 - December 5, 2011
MF GLOBAL INC.
April 14, 2006 - April 12, 2011
HBK GLOBAL SECURITIES L.P.
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: 11/29/2011
Limited Representative-Equity Trader ExamCurrent Firm
HBK GLOBAL SECURITIES L.P.
CRD#: 120579 / SEC#: , 8-65316
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HBK SECURITIES LP INC. | LIMITED PARTNER | |
| BURKHARDT, RICHARD HENRY | FINOP | 5440286 |
| GODVIN, MARK DAVID | VICE PRESIDENT, MEMBER OF OVERSIGHT COMMITTEE | 1189421 |
| HARRIS, HEATHER LYNNE MS. | MEMBER OF OVERSIGHT COMMITTEE | 4144805 |
| HBK SECURITIES GP INC. | GENERAL PARTNER | |
| MATHIS, GAYLA LYNETTE | CEO | 2775669 |
| OSBURN, ALISON LARAINE | CHIEF COMPLIANCE OFFICER | 5778391 |
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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