Martin H. 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 Hess Harris was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 2007. Martin had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2015 - December 31, 2017
SUMMIT GLOBAL INVESTMENTS, LLC
January 3, 2011 - May 5, 2015
WELLS FARGO CLEARING SERVICES, LLC
December 2, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 25, 2007 - November 17, 2010
E*TRADE SECURITIES LLC
Primary Firm SEC Registration
SUMMIT GLOBAL INVESTMENTS, LLC
CRD#: 157091 / SEC#: 801-76631
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
Current Firm
SUMMIT GLOBAL INVESTMENTS, LLC
CRD#: 157091 / SEC#: 801-76631
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,923 |
| AUM (Assets Under Management) | $ 1,921,141,101 |
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.
