Frank W. Harrison

SP SECURITIES LLC

HOUSTON, TX 77057

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CRD#: 5180952

Professional summary

Frank William Harrison, who also goes by Frank William Harrison IV, Frank Harrison, Will Harrison, is a registered financial professional currently at SP SECURITIES LLC located in Houston, Texas.

Frank is registered as a RR (Registered Representative) and started their career in finance in 2007. Frank has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frank William Harrison Iv | Frank Harrison | Will Harrison

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 Frank William Harrison'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

August 18, 2023 - Present

SP SECURITIES LLC

Office #1: 6363 Woodway Dr Suite 1000, Houston, TX 77057

CRD#: 130560

HOUSTON, TX

Past

December 21, 2021 - August 29, 2023

DORSET PEAK SECURITIES LLC

CRD#: 312209

Houston, TX

Past

May 4, 2011 - November 30, 2020

MOELIS & COMPANY LLC

CRD#: 145115

HOUSTON, TX

Past

September 3, 2007 - May 11, 2011

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

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

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

Texas
(8/18/2023)

Exams

State Security Law Exam

Series 63

Date: 8/26/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/2/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SP SECURITIES LLC

CRD#: 130560 / SEC#: , 8-66360

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

6363 Woodway Dr Suite 1000, Houston, TX 77057

Mailing Address

6363 Woodway Dr Suite 1000, Houston, TX 77057

Phone number

(713) 819-8980

Established

Texas since 01/15/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SAGE PARTNERS LTD.	SOLE MEMBER
BINET, TODD M.	MANAGER, REGISTERED PRINCIPAL
MILLER, DAVID SUTTON	MANAGER, REGISTERED PRINCIPAL	2097046
MORIN, PETER B.	MANAGER, REGISTERED PRINCIPAL
WALTON, H. STEVEN	MANAGER, REGISTERED PRINCIPAL
WILSON, WILLIAM HOWARD JR	MANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL
WILSON, WILLIAM HOWARD JR	DESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER	1430161

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Frank W. Harrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank William Harrison's CRS (Customer Relationship Summary).

Certified licenses

Experience

DORSET PEAK SECURITIES LLC

MOELIS & COMPANY LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/2011

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/2/2007

FINRA

Current Firm

SP SECURITIES LLC

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SP SECURITIES LLC

TRUST BUT VERIFY

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