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NH

Nathan A. Harris

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CRD#: 5369849
NH

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.

Nathan Andrew Harris was a registered financial professional .

Nathan is a previously registered financial professional and started their career in finance in 2008. Nathan had worked at 2 firms and has passed the Series 63, SIE and Series 7 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

June 25, 2010 - November 11, 2014

FORUM CAPITAL SECURITIES LLC

BD
CRD#: 113855
NEW YORK, NY
Past

August 7, 2008 - May 28, 2010

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, 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: 10/22/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/11/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/6/2008
General Securities Representative Examination

Current Firm

FC
FORUM CAPITAL SECURITIES LLC
FORUM CAPITAL PARTNERS | FORUM CAPITAL SECURITIES LLC | FORUM CAPITAL PARTNERS, L.L.C. | FORUM CAPITAL PARTNERS, L.L.C

CRD#: 113855 / SEC#: , 8-53364

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

Main Address
477 Madison Avenue 6th Floor, Pmb #6819, New York, NY 10022
Mailing Address
477 Madison Avenue 6th Floor, Pmb #6819, New York, NY 10022
Phone number
(212) 290-1787
Established
Delaware since 11/02/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FCP HOLDINGS, L.L.C.SOLE MEMBER
COHEN, EDWARD BARRYFINANCIAL AND OPERATIONS PRINCIPAL1029283
SCHWABE, ROBERT WILLIAMMANAGING DIRECTOR1877727
STERN, JEFFREY MICHAELMANAGING DIRECTOR, CCO435584

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

FORUM CAPITAL SECURITIES LLC

CRD#: 113855

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