Robert R. 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.
Robert Ross Harris Jr., who also goes by Robert Ross Harris, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2017. Robert had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2018 - April 19, 2024
TRANSACT CAPITAL SECURITIES, LLC
September 19, 2017 - May 30, 2018
BB&T SECURITIES, LLC
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
Series 99TO
Date: 12/14/2023
Operations Professional ExaminationSeries 28
Date: 8/11/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
TRANSACT CAPITAL SECURITIES, LLC
CRD#: 133822 / SEC#: , 8-66778
Contact information
FINRA licenses (11 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.
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