Sarah E. Harris

AJAX CAPITAL ADVISORS

FAYETTEVILLE, AR

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CRD#: 6708887

Professional summary

Sarah Emily Harris, who also goes by Se Harris, Sarah E Harris, Sarah Harris, is a registered financial advisor currently at AJAX CAPITAL ADVISORS, INC. located in Fayetteville, Arkansas.

Sarah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Sarah has worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Se Harris | Sarah E Harris | Sarah Harris

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.

-Agate CPA; Not Investment related; Rogers, AR; CEO; Start Date: 11/2023; Approximately 150 Hrs/Mo -SE Harris Holdings, LLC dba Harris CPA & Wealth Management; Not investment related; Fayetteville, AR; Manager; Start Date: 05/2020; Approximately 1 HR/MO during trading hours; Owner and Operations Dir; Hold client meetings/prepare tax returns. -INSURANCE SALES; INVESTMENT-RELATED; FAYETTEVILLE, AR; INSURANCE SALES; APPROXIMATELY 10 HR/MO DURING TRADING HOURS; SALES OF VARIOUS INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Emily Harris's CRS (Customer Relationship Summary).

LEVEL FOUR ADVISORY SERVICES

RIA

CRD#: 134086

Conway, AR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arkansas
(2/2/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/19/2019

Uniform Investment Adviser Law Examination

Current Firm

AJAX CAPITAL ADVISORS, INC.

AJAX CAPITAL ADVISORS | AJAX CAPITAL ADVISORS, INC.

CRD#: 150229 / SEC#:

Arkansas

Registered Investment Advisory firm - (1/2/2024 Approved)

Georgia

Registered Investment Advisory firm - (5/28/2009 Approved)

North Carolina

Registered Investment Advisory firm - (3/23/2011 Approved)

South Carolina

Registered Investment Advisory firm - (3/17/2025 Terminated)

Texas

Registered Investment Advisory firm - (12/5/2011 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1 Concourse Parkway Ne, Atlanta, GA 30328

Mailing Address

Phone number

(404) 816-2860

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	160
AUM (Assets Under Management)	$ 28,017,000

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.

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Sarah E. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Emily Harris's CRS (Customer Relationship Summary).

Certified licenses

Experience

AJAX CAPITAL ADVISORS, INC.

AVANTAX ADVISORY SERVICES

CORNERSTONE WEALTH MANAGEMENT, LLC

AVANTAX ADVISORY SERVICES

LEVEL FOUR ADVISORY SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 6/19/2019

Current Firm

AJAX CAPITAL ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AJAX CAPITAL ADVISORS, INC.

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