Michael P. 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.
Michael Paul Harris, who also goes by Mike Harris, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1976. Michael had worked at 4 firms and has passed the Series 63, Series 5, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 1995 - December 1, 1998
MILLER JOHNSON STEICHEN KINNARD, INC.
April 15, 1988 - February 14, 1995
UBS FINANCIAL SERVICES INC.
December 3, 1981 - June 17, 1988
CITIGROUP GLOBAL MARKETS INC.
January 31, 1980 - December 14, 1981
UBS FINANCIAL SERVICES INC.
May 20, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 5
Date: 2/16/1984
Interest Rate Options ExaminationPC
Date: 6/28/1977
AMEX Put and Call ExamSeries 8
Date: 3/9/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MILLER JOHNSON STEICHEN KINNARD, INC.
CRD#: 694 / SEC#: , 8-1303
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 8 |
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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