CH
Constantine Harris
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CRD#: 702605
CH
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.
Constantine Harris was a registered financial professional .
Constantine is a previously registered financial professional and started their career in finance in 1979. Constantine had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 5, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
1) Steward Partners Investment Advisory, LLC. - Investment related: Yes. Address: Portsmouth, NH. Nature of the business: Independent RIA. Position: Investment Advisor Representative. Start Date: 5/2018. Hours per month devoted to this business: 0. Hours per month devoted to this business during trading hours: 0. Description of Duties: Provide advisory services for clients. 2) Steward Partners Global Advisory, LLC. - Investment related: Yes. Address: Portsmouth, NH. Nature of business: Non-variable insurance and annuities. Position: Agent. Start date: 5/2018. Hours per month devoted to this business: 0. Hours per month devoted to this business during trading hours: 0. Description of Duties: Offer non-variable insurance, term, whole and universal life insurance, disability health, and immediate and fixed annuities. 3) Name of Business: Steward Parters Global Advisory Address: 145 Maplewood Avenue, Portsmouth, NH, 03801, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 05/24/2018 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Provide Investment advice to clients 4) Raymond James Financial Services, Inc. - Investment related: Yes. Address: Portsmouth, NH. Nature of business: Securities Broker/Dealer Firm. Position: Registered representative. Start Date: 5/2018. Hours per month devoted to this business: 160. Hours per month devoted to this business during trading hours: 160. Description of duties: Securities sales. 5) STEWARDS OF SMUTTYNOSE & MALAGA ISLANDS - PORTSMOUTH, NH - NOT INVESTMENT RELATED - 01/1980 - BOARD MEMBER, FINANCIAL COMMITTEE - 0 BUSINESS AND TRADING HOURS - CARETAKER OF 2 OFFSHORE ISLANDS 6)Name of Business: Highwater Wealth Group Address: 145 Maplewood Avenue, Portsmouth, NH, 03801, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 03/01/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Investment management
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
May 27, 2022 - June 27, 2025
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BD
CRD#: 1254
PORTSMOUTH, NH
Past
May 24, 2018 - June 27, 2025
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
RIA
CRD#: 283004
Portsmouth, NH
Past
May 24, 2018 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
PORTSMOUTH, NH
Past
January 1, 2008 - May 29, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PORTSMOUTH, NH
Past
January 1, 2008 - May 29, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PORTSMOUTH, NH
Past
October 5, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
PORTSMOUTH, NH
Past
August 19, 1987 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
PORTSMOUTH, NH
Past
December 21, 1979 - September 3, 1987
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 1/20/1983
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BLAKELY, STRAND & WILLIAMS, INC. | VALENCIA GROUP | UMPQUA WEALTH ADVISORY | UMPQUA INVESTMENTS, INC. | STRAND, ATKINSON, WILLIAMS & YORK, INC. | STRAND, ATKINSON, WILLIAMS & YORK INC. | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | STEWARD PARTNERS GLOBAL ADVISORY, LLC | MILLER FORSYTH GROUP | LINDSEY GROUP | H.L. WIGINTON CAPITAL | GERGEN WEALTH MANAGEMENT | ENSIGN WEALTH PARTNERS
CRD#: 1254 / SEC#: 801-67179, 8-2915
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
15495 Sw Sequoia Parkway Suite 150, Portland, OR 97224
Mailing Address
15495 Sw Sequoia Parkway Suite 150, Portland, OR 97224
Phone number
(971) 353-7800
Established
Delaware since 04/22/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
524
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
