James E. 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.
James Edward Harris was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1978. James had worked at 15 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 22, Series 6 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
April 30, 2010 - February 28, 2022
INDEPENDENT FINANCIAL GROUP, LLC
April 27, 2010 - February 28, 2022
INDEPENDENT FINANCIAL GROUP, LLC
May 30, 2005 - April 26, 2010
AFA ADVISOR SERVICES LLC
April 1, 2005 - April 26, 2010
AFA FINANCIAL GROUP, LLC
August 16, 2004 - April 5, 2005
KESTRA INVESTMENT SERVICES, LLC
January 2, 2003 - April 5, 2005
KESTRA INVESTMENT SERVICES, LLC
April 5, 2002 - December 31, 2002
SENTRA SECURITIES CORPORATION
September 7, 2001 - December 31, 2002
SENTRA SECURITIES CORPORATION
October 27, 1998 - August 3, 2001
KESTRA INVESTMENT SERVICES, LLC
June 22, 1993 - November 12, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 18, 1993 - November 12, 1998
ROBERT W. BAIRD & CO. INCORPORATED
August 31, 1992 - April 6, 1993
MUTUAL SERVICE CORPORATION
January 15, 1992 - August 18, 1992
RAYMOND-MARTIN FINANCIAL INC.
April 30, 1991 - November 12, 1991
FINANCIAL WEST GROUP
March 19, 1991 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
October 23, 1990 - December 31, 1990
FINANCIAL WEST INVESTMENT GROUP
January 13, 1987 - January 1, 1990
PORTFOLIO SECURITIES CORPORATION
October 24, 1983 - February 2, 1987
SIGNATOR INVESTORS, INC.
March 6, 1978 - August 13, 1978
LEHMAN BROTHERS INC.
February 1, 1978 - April 25, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
