Richard O. 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.
Richard Overton Harris JR, who also goes by Dick Harris Jr., Richard Harris, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 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
August 17, 2022 - February 22, 2024
ACC SECURITIES, LLC
June 22, 2020 - July 26, 2021
INDEPENDENT INVESTMENT BANKERS, CORP.
September 19, 2017 - February 19, 2020
OVERTON SECURITIES, LLC
August 8, 2013 - March 24, 2016
INDEPENDENT INVESTMENT BANKERS, CORP.
June 22, 2012 - August 7, 2013
WFG INVESTMENTS, INC.
November 2, 2010 - October 26, 2011
CRESCENT SECURITIES GROUP, INC.
August 1, 2007 - March 9, 2009
GE CAPITAL MARKETS, INC.
August 20, 1998 - September 26, 2001
GCP SECURITIES, INC.
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: 1/2/2023
Operations Professional ExaminationCurrent Firm
ACC SECURITIES, LLC
CRD#: 167019 / SEC#: , 8-69239
Contact information
FINRA licenses (1 States and Territories)
Documents
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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