David 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.
David Alan Harris was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1976. David had worked at 5 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 27, Series 24, Series 53 and Series 54FN exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2000 - December 31, 2020
DAVID HARRIS & CO., INC.
May 26, 1994 - April 26, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 26, 1994 - April 26, 1995
EQUITABLE ADVISORS, LLC
July 25, 1987 - May 25, 1989
DAVID HARRIS & CO. INC.
April 21, 1976 - April 16, 2019
CHESTER HARRIS & COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 7/25/2023
General Securities Representative ExaminationSeries 79TO
Date: 7/25/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 7/25/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 7/25/2023
Operations Professional ExaminationSeries 57TO
Date: 7/25/2023
Securities Trader ExamSeries 55
Date: 4/29/2000
Limited Representative-Equity Trader ExamSeries 54FN
Date: 5/15/1980
Municipal Securities Financial and Operations Principal ExaminationCurrent Firm
DAVID HARRIS & CO., INC.
CRD#: 45670 / SEC#: , 8-51118
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDH HOLDINGS, INC. | PARENT COMPANY | |
| HARRIS, DAVID ALAN | PRESIDENT, VP, SECRETARY, TREASURER, GSP, CCO, FINOP, GOVERNMENT PRINCIPAL, MSRB PRINCIAPL, AMLCO | 500413 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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