Peter J. Harris
Professional summary
Peter Joseph Harris is a registered financial professional currently at FRED ALGER & COMPANY, LLC located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2009. Peter has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Joseph Harris's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 8, 2023 - Present
FRED ALGER & COMPANY, LLC
Office #1: 100 Pearl Street 27th Floor, New York, NY, 10004February 3, 2023 - August 4, 2023
TLG ADVISORS, INC.
February 3, 2023 - August 4, 2023
THE LEADERS GROUP, INC.
February 17, 2020 - October 4, 2022
PRINCIPAL SECURITIES, INC.
February 13, 2020 - October 4, 2022
PRINCIPAL SECURITIES, INC.
April 26, 2019 - February 7, 2020
CHARLES SCHWAB & CO., INC.
August 9, 2018 - February 7, 2020
CHARLES SCHWAB & CO., INC.
September 7, 2009 - April 13, 2018
JACKSON NATIONAL LIFE DISTRIBUTORS 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
(8/8/2023)
(8/8/2023)
(8/8/2023)
(8/8/2023)
Exams
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
FRED ALGER & COMPANY, LLC
CRD#: 5300 / SEC#: , 8-15900
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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.
