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AH

Andrew U. Harris

Some features on this profile are disabled
CRD#: 5060794
AH

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.

Andrew Urton Harris was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 2006. Andrew had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 8, 2015 - May 1, 2018

THREADMARK LP

BD
CRD#: 173318
NEW YORK, NY
Past

April 21, 2006 - May 27, 2014

FORUM CAPITAL SECURITIES LLC

BD
CRD#: 113855
NEW YORK, NY

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: 5/16/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/25/2014
General Securities Principal Examination

Current Firm

TL
THREADMARK LP
THREADMARK LP

CRD#: 173318 / SEC#: , 8-69535

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

Main Address
300 Park Avenue 2nd Floor, New York, NY 10022
Mailing Address
300 Park Avenue 2nd Floor, New York, NY 10022
Phone number
(917) 397-2301
Established
Delaware since 04/22/2014
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THREADMARK GP, LLCGENERAL PARTNER
AHUJA, AJAYCFO/COO/POO2720807
CHAPMAN, BRUCE HUNTLEACCO5062739
GALES, WILHELMINA ANNA MCEO2951268
ROCHE, PASCALFINOP/PFO5920968

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

THREADMARK LP

CRD#: 173318

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