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MH

Michael J. Harris

MARCO POLO SECURITIES LLC
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 4981761
MH

Professional summary

Michael James Harris is a registered financial professional currently at MARCO POLO SECURITIES LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 79TO and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Michael James Harris's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

July 31, 2025 - Present

MARCO POLO SECURITIES LLC

Office #1: 1230 Avenue Of Am 16th Floor, New York, NY 10020
BD
CRD#: 46561
NEW YORK, NY
Past

June 9, 2025 - August 1, 2025

FINALIS SECURITIES LLC

BD
CRD#: 305908
NEW YORK, NY
Past

September 1, 2006 - January 3, 2021

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
HOUSTON, TX

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
Series 63
Date: 1/14/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/8/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/1/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MP
MARCO POLO SECURITIES LLC
DEVINE SECURITIES INC. | MARCO POLO SECURITIES LLC | MARCO POLO SECURITIES INC. | INVESTABLE OCEANS

CRD#: 46561 / SEC#: , 8-51480

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1230 Avenue Of Am 16th Floor, New York, NY 10020
Mailing Address
1230 Avenue Am 16th Floor, New York, NY 10020
Phone number
(347) 773-4959
Established
Delaware since 12/31/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (36 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MARCO POLO EXCHANGE INCOWNER
CARLSON, STEVEN JACKCHIEF EXECUTIVE OFFICER2026011
EBERSTADT, OLIVER ROBERTCCO1808170
MACK, ALEXANDER HERBERTFINOP4805607

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

MARCO POLO SECURITIES LLC

CRD#: 46561New York, NY 10020

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