Individual Firm
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BRANDON TRAVIS HARRIS
CRD#: 2562934
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 5520 Kietzke Ln Ste 430
Reno, NV 89511
Reno, NV 89511
View By:
9/1/2009
Customer Dispute
Denied
State Registrations
B
Arizona 4/16/2021
IA
Nevada 4/30/2021
B
California 4/16/2021
B
New York 4/16/2021
IA
California 4/23/2021
B
North Carolina 1/26/2022
B
Colorado 4/16/2021
B
Oregon 4/16/2021
B
Florida 4/16/2021
B
Texas 5/19/2021
B
Louisiana 4/16/2021
IA
Texas 5/19/2021
B
Nevada 4/26/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/23/2021
B
Registered with this firm since 4/16/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/22/2008 - 04/23/2021 | MONTEREY, CA | |
B | 07/22/2008 - 04/23/2021 | MONTEREY, CA | |
IA | 01/01/2008 - 07/24/2008 | MONTEREY, CA | |
B | 01/01/2008 - 07/24/2008 | MONTEREY, CA | |
B | 06/14/2002 - 01/03/2008 | MONTEREY, CA | |
IA | 06/14/2002 - 01/01/2008 | MONTEREY, CA | |
IA | 12/29/1998 - 06/21/2002 | CARMEL, CA | |
B | 11/09/1998 - 06/21/2002 | NEW YORK, NY | |
B | 04/18/1995 - 11/12/1998 | BEVERLY HILLS, CA |
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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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.