Shannon B. 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.
Shannon Blake Harris was a registered financial professional .
Shannon is a previously registered financial professional and started their career in finance in 2011. Shannon had worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2016 - September 7, 2017
TRIUMPH CAPITAL MANAGEMENT
October 30, 2015 - March 7, 2017
SUMMIT FINANCIAL GROUP INC
October 13, 2015 - March 7, 2017
CETERA INVESTMENT ADVISERS LLC
September 1, 2015 - March 7, 2017
SUMMIT BROKERAGE SERVICES, INC.
September 20, 2013 - September 29, 2015
J.P. TURNER & COMPANY, L.L.C.
September 10, 2013 - November 13, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
February 8, 2011 - April 12, 2012
MORGAN STANLEY
January 7, 2011 - April 12, 2012
MORGAN STANLEY
Primary Firm SEC Registration
TRIUMPH CAPITAL MANAGEMENT
CRD#: 282814 / SEC#: 801-107312
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
TRIUMPH CAPITAL MANAGEMENT
CRD#: 282814 / SEC#: 801-107312
Contact information
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,605 |
| AUM (Assets Under Management) | $ 529,969,949 |
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.
