Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas M. Harris is a financial professional with over 20 years of experience in the industry. He is currently registered with Tradition Securities And Derivatives LLC in New York, NY. He is also registered in California, Illinois, New York and Pennsylvania. Douglas has held previous roles at TFS Derivatives Corporation and FIMAT USA, LLC. He has passed the Series 63, Series 24, Series 7 and SIE exams.
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.
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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2
NY
03/31/2016 - Present
Tradition Securities AND Derivatives LLC (New York NY)
NY
06/16/2005 - 04/25/2016
TFS DERIVATIVES CORPORATION (NEW YORK NY)
IL
06/20/2003 - 06/17/2005
FIMAT USA, LLC (CHICAGO IL)
BC
Issued 07/02/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/16/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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