AH
Alexis M. Harmon
FORTRESS CAPITAL FORMATION LLC
New York, NY 10105
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CRD#: 6228427
AH
Professional summary
Alexis Mackenzie Harmon, who also goes by Alexis Harmon, is a registered financial professional currently at FORTRESS CAPITAL FORMATION LLC located in New York, New York.
Alexis is registered as a RR (Registered Representative) and started their career in finance in 2013. Alexis has worked at 4 firms and has passed the Series 63, SIE, Series 7TO and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alexis Harmon
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.
CRS (Client Relationship Summary) - BD
Click below to view Alexis Mackenzie Harmon's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 25, 2025 - Present
FORTRESS CAPITAL FORMATION LLC
Office #1: 1345 Avenue Of The Americas 45th Floor, New York, NY 10105BD
CRD#: 152385
New York, NY
Past
June 27, 2020 - April 4, 2024
OCM INVESTMENTS, LLC
BD
CRD#: 128803
LOS ANGELES, CA
Past
April 14, 2014 - December 11, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
September 16, 2013 - April 2, 2014
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/25/2025)
RR
Alaska(9/25/2025)
RR
Arizona(9/25/2025)
RR
Arkansas(9/25/2025)
RR
California(9/25/2025)
RR
Colorado(9/25/2025)
RR
Connecticut(9/25/2025)
RR
Delaware(9/25/2025)
RR
District of Columbia(9/25/2025)
RR
Florida(9/25/2025)
RR
Georgia(9/25/2025)
RR
Hawaii(9/25/2025)
RR
Idaho(9/25/2025)
RR
Illinois(9/25/2025)
RR
Indiana(9/25/2025)
RR
Iowa(9/25/2025)
RR
Kansas(9/25/2025)
RR
Kentucky(9/25/2025)
RR
Louisiana(9/25/2025)
RR
Maine(9/25/2025)
RR
Maryland(9/25/2025)
RR
Massachusetts(9/25/2025)
RR
Michigan(9/25/2025)
RR
Minnesota(9/25/2025)
RR
Mississippi(9/25/2025)
RR
Missouri(9/25/2025)
RR
Montana(9/25/2025)
RR
Nebraska(9/25/2025)
RR
Nevada(9/25/2025)
RR
New Hampshire(9/25/2025)
RR
New Jersey(9/25/2025)
RR
New Mexico(9/25/2025)
RR
New York(9/25/2025)
RR
North Carolina(9/25/2025)
RR
North Dakota(9/25/2025)
RR
Ohio(9/25/2025)
RR
Oklahoma(9/25/2025)
RR
Oregon(9/25/2025)
RR
Pennsylvania(9/25/2025)
RR
Puerto Rico(9/25/2025)
RR
Rhode Island(9/25/2025)
RR
South Carolina(9/25/2025)
RR
South Dakota(9/25/2025)
RR
Tennessee(9/25/2025)
RR
Texas(9/25/2025)
RR
Utah(9/25/2025)
RR
Vermont(9/25/2025)
RR
Virgin Islands(9/25/2025)
RR
Virginia(9/25/2025)
RR
Washington(9/25/2025)
RR
West Virginia(9/25/2025)
RR
Wisconsin(9/25/2025)
RR
Wyoming(9/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/22/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FORTRESS CAPITAL FORMATION LLC
FORTRESS CAPITAL FORMATION LLC | FORTRESS INVESTMENT GROUP LLC
CRD#: 152385 / SEC#: , 8-68449
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas 45th Floor, New York, NY, 10105
Mailing Address
1345 Avenue Of The Americas 45th Floor, New York, NY, 10105
Phone number
(212) 798-6100
Established
Delaware since 06/09/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
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.
