Patrick E. Harris
Professional summary
Patrick Eugene Harris, who also goes by Patrick Harris, is a registered financial professional currently at TRIBAL CAPITAL MARKETS, LLC located in Orlando, Florida and LEDGER CAPITAL MARKETS, LLC located in Stuyvesant, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 2010. Patrick has worked at 18 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Eugene Harris's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2019 - Present
TRIBAL CAPITAL MARKETS, LLC
Office #1: 10243 Mattraw Place, Orlando, FL 32836May 28, 2021 - Present
LEDGER CAPITAL MARKETS, LLC
November 8, 2022 - Present
CANDEAL SECURITIES, LLC
December 5, 2024 - Present
DREAM STREET SECURITIES, LLC
Office #1: 739 N. Main Street, Los Angeles, CA 90039January 5, 2025 - Present
CHAINCE SECURITIES, LLC
Office #1: 1251 Avenue Of The Americas 41st Floor, New York, NY 10020March 5, 2025 - Present
CAPITAL DYNAMICS BROKER DEALER LLC
Office #1: 444 Madison Avenue, New York, NY 10022September 12, 2025 - Present
CDX ADVISORS
Office #1: 525 Okeechobee Blvd Suite 840, West Palm Beach, FL 33410September 30, 2025 - Present
DWM FINANCE LLC
Office #1: 100 First Stamford Place 4th Floor Suite 450, Stamford, CT 06902May 9, 2024 - July 9, 2024
DEMATTEO RESEARCH LLC
February 16, 2023 - December 6, 2024
ALLIO MARKETS, LLC
November 21, 2022 - August 21, 2025
CDX ADVISORS
January 25, 2022 - May 8, 2023
SKYVIEW INVESTMENT BANKING
July 10, 2021 - October 1, 2021
CORTEX INVESTMENT MANAGEMENT, LLC
January 12, 2021 - October 10, 2025
AAG CAPITAL, INC
April 6, 2020 - October 1, 2021
CORTEX INVESTMENT BANKING, LLC
May 11, 2019 - July 28, 2023
CRB SECURITIES, LLC
March 13, 2019 - December 10, 2019
OLD SLIP CAPITAL MANAGEMENT, INC.
February 26, 2019 - May 8, 2023
8 RIVERS ADVISORS, LLC
July 25, 2018 - March 14, 2019
CDX ADVISORS
February 9, 2010 - June 19, 2018
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/5/2025)
(9/30/2025)
(5/28/2021)
(6/17/2022)
(12/4/2024)
Exams
FINRA
FINRA
Nasdaq Stock Market
Current Firm
DWM FINANCE LLC
CRD#: 137513 / SEC#: , 8-67091
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
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Company Information
DWM FINANCE LLC
CRD#: 137513Orlando, FL 32836TRUST BUT VERIFY
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