Martin C. 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.
Martin Chester Harris was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1976. Martin had worked at 3 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 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
May 25, 2000 - June 1, 2019
DAVID HARRIS & CO., INC.
July 25, 1987 - May 25, 1989
DAVID HARRIS & CO. INC.
April 26, 1976 - April 16, 2019
CHESTER HARRIS & COMPANY, INCORPORATED
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: 4/29/2000
Limited Representative-Equity Trader ExamSeries 54FN
Date: 11/20/1978
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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