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SH

Steven D. Harris

BAILEY & CO. SECURITIES
Brentwood, TN 37027
Some features on this profile are disabled
CRD#: 5042219
SH

Professional summary

Steven Dale Harris JR, who also goes by Steven Dale Harris, is a registered financial professional currently at BAILEY & CO. SECURITIES, LLC located in Brentwood, Tennessee.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2005. Steven has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 62 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Dale Harris

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 Steven Dale Harris JR's 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

December 11, 2019 - Present

BAILEY & CO. SECURITIES, LLC

Office #1: 5511 Virginia Way Suite 200, Brentwood, TN 37027Office #2: 5511 Virginia Way Suite 200, Brentwood, TN 37027
BD
CRD#: 302015
Brentwood, TN
Past

April 19, 2017 - January 2, 2020

STILLPOINT CAPITAL, LLC

BD
CRD#: 133146
TAMPA, FL
Past

April 9, 2015 - May 31, 2016

REGIONS SECURITIES LLC

BD
CRD#: 159475
Charlotte, NC
Past

April 21, 2011 - April 10, 2015

BROOKWOOD ASSOCIATES, L.L.C.

BD
CRD#: 26061
CHARLOTTE, NC
Past

April 29, 2010 - March 17, 2011

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

December 14, 2005 - July 5, 2007

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
RICHMOND, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(6/5/2020)
RR
New Jersey
(8/11/2021)
RR
South Dakota
(9/20/2023)
RR
Tennessee
(1/9/2020)
RR
Virginia
(12/18/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/29/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 4/28/2010
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

B&
BAILEY & CO. SECURITIES, LLC
BAILEY & CO. SECURITIES, LLC | BSC SECURITIES, LLC

CRD#: 302015 / SEC#: , 8-70458

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

Main Address
5511 Virginia Way Suite 200, Brentwood, TN 37027
Mailing Address
5511 Virginia Way Suite 200, Brentwood, TN 37027
Phone number
(215) 694-5054
Established
Tennessee since 04/12/2019
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BAILEY & COMPANY PARENT, LLCPARENT COMPANY/100 OWNER
BAILEY, JEFFREY LAWRENCEMANAGING DIRECTOR/EXECUTIVE REPRESENTATIVE3171436
BAILEY, JOHN JAMES IIIMANAGING DIRECTOR/PRINCIPAL5708044
INGRAHAM, FRANK TODDCHIEF COMPLIANCE OFFICER2918519
SERRA, CARL ANTHONY IIIFINOP3179039

Disclosures

Regulatory Event1

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

BAILEY & CO. SECURITIES, LLC

CRD#: 302015Brentwood, TN 37027

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