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Detailed Report
ELLIOT HARRIS
CRD#: 2496586
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
1998200020022004200620082010201220142016IALADENBURG THALMANN ASSET MANAG... (CRD# 108604)2009 - 2015 (6 years)IATRIAD ADVISORS, INC. (CRD# 25803)2010 - 2010 (<1 year)IAAXA ADVISORS, LLC (CRD# 6627)2006 - 2008 (1 year)IALADENBURG THALMANN ASSET MANAG... (CRD# 108604)2004 - 2005 (1 year)
Disclosure(s)
View By:
12/28/2016
Customer Dispute
Settled
7/1/2016
Customer Dispute
Settled
6/14/2016
Regulatory
Final
6/3/2016
Customer Dispute
Settled
5/31/2016
Customer Dispute
Settled
5/20/2016
Customer Dispute
Settled
7/16/2009
Employment Separation After Allegations
3/23/1998
Customer Dispute
Settled
Previous Registration(s)
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 07/28/2009 - 12/16/2015 LADENBURG THALMANN ASSET MANAGEMENT INC (CRD#:108604) BOCA RATON, FL
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 01/14/2010 - 11/09/2010 TRIAD ADVISORS, INC. (CRD#:25803) Boca Raton, FL
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 02/24/2006 - 01/15/2008 AXA ADVISORS, LLC (CRD#:6627) MELVILLE, NY
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 06/09/2004 - 09/13/2005 LADENBURG THALMANN ASSET MANAGEMENT INC (CRD#:108604) MELVILLE, NY
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.