Adam D. Abbas
Professional summary
Adam Duane Abbas, who also goes by Adam Abbas, is a registered financial professional currently at HARRIS ASSOCIATES SECURITIES L.P. located in Chicago, Illinois.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2009. Adam has worked at 2 firms and has passed the Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam Duane Abbas's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2020 - Present
HARRIS ASSOCIATES SECURITIES L.P.
Office #1: 111 S. Wacker Drive Suite 4600, Chicago, IL 60606January 14, 2009 - June 29, 2010
NEUBERGER BERMAN BD 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 6TO
Date: 10/1/2020
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
HARRIS ASSOCIATES SECURITIES L.P.
CRD#: 6959 / SEC#: , 8-19988
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS ASSOCIATES L.P. | LIMITED PARTNER | |
| HARRIS ASSOCIATES INC. | GENERAL PARTNER | |
| KELLER, CHRISTOPHER WOLFGANG | PRESIDENT | 2865184 |
| PIETRAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 4278774 |
| WEBER, ZACHARY DAVID | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5483343 |
| WRIGHT, RANA JEWEL | CHIEF LEGAL AND ADMINISTRATIVE OFFICER | 6357277 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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