Steven D. 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.
Steven Dale Harris JR, who also goes by Steven Dale Harris, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2005. Steven had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 62 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
December 11, 2019 - November 20, 2025
BAILEY & CO. SECURITIES, LLC
April 19, 2017 - January 2, 2020
STILLPOINT CAPITAL, LLC
April 9, 2015 - May 31, 2016
REGIONS SECURITIES LLC
April 21, 2011 - April 10, 2015
BROOKWOOD ASSOCIATES, L.L.C.
April 29, 2010 - March 17, 2011
STEPHENS
December 14, 2005 - July 5, 2007
SCOTT & STRINGFELLOW, LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 4/28/2010
Corporate Securities Limited Representative ExaminationCurrent Firm
BAILEY & CO. SECURITIES, LLC
CRD#: 302015 / SEC#: , 8-70458
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
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.
