Steven J. 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.
Steven James Harris, who also goes by Steve James Harris, Steve Harris, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2014. Steven had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
March 11, 2020 - March 19, 2025
HINES PRIVATE WEALTH SOLUTIONS LLC
July 31, 2019 - March 11, 2020
J.P. MORGAN SECURITIES LLC
July 31, 2019 - March 11, 2020
J.P. MORGAN SECURITIES LLC
September 21, 2018 - June 17, 2019
MML INVESTORS SERVICES, LLC
September 20, 2018 - June 17, 2019
MML INVESTORS SERVICES, LLC
October 15, 2014 - August 8, 2018
INVESCO ADVISERS, INC.
September 29, 2014 - August 8, 2018
INVESCO DISTRIBUTORS, INC.
August 4, 2014 - September 8, 2014
CAPNET SECURITIES CORPORATION
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
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145 / SEC#: , 8-66096
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HINES RETAIL SECURITIES LLC | OWNER | |
| CARUSO, JOHN ARMOND | MANAGING DIRECTOR, MANAGER | 5524146 |
| FERRARO, PAUL JAMES | SENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO | 2479671 |
| FOGG, RICHARD MATTHEW JR | MANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER | 2669807 |
| HILL, LERONICA CARRIETTA | CHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY | 4936282 |
| HUSSEIN, SHAUN R | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5193143 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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