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Curtis Alexander Harris

Rice Financial Products Co.

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About Curtis Alexander Harris

Curtis Alexander Harris is a financial professional with over 30 years of experience in the industry. Curtis has worked for several firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Kidder, Peabody & Co. Incorporated, Muriel Siebert & Co., Inc., Barclays Capital Inc. and Academy Securities, Inc. Currently, Curtis is registered with Rice Financial Products Co. and is licensed in all 50 states. Curtis is a municipal securities professional and holds licenses for Series 52, 53 and 63, as well as the SIE and Series 7.

Firm Information

Curtis Harris is currently registered with Rice Financial Products Co.. Rice Financial Products Co. is a Limited Liability Company formed in June 2009. The company is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It has one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

10

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Curtis Harris’s Registration & Firm History

TX

09/07/2018 - Present

Rice Financial Products Co. (HOUSTON TX)

NY

05/03/2016 - 09/12/2018

ACADEMY SECURITIES, INC. (NEW YORK NY)

NY

05/26/2011 - 08/17/2015

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

01/04/2000 - 05/24/2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

05/31/1991 - 10/01/1996

MURIEL SIEBERT & CO., INC. (NEW YORK NY)

NY

06/26/1989 - 01/04/1991

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

NY

04/18/1989 - 05/23/1989

WR LAZARD & LAIDLAW INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/09/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/08/2004

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/03/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Curtis Alexander Harris.
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