Individual Firm
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THOMAS HERBERT HARRIS
THOMAS H HARRIS, TOM H HARRIS, TOM HARRIS
CRD#: 2926244
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MONEY CONCEPTS ADVISORY SERVICECRD#: 12963 LOUISVILLE, KY
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2/11/2014
Employment Separation After Allegations
State Registrations
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Florida 10/4/2016
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Kentucky 10/10/2016
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Indiana 10/11/2016
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Kentucky 10/11/2016
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 10/11/2016
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/17/2014 - 06/21/2016 | LOUISVILLE, KY | |
B | 05/30/2014 - 06/20/2016 | LOUISVILLE, KY | |
IA | 01/19/2007 - 03/05/2014 | LOUISVILLE, KY | |
B | 01/18/2007 - 03/05/2014 | LOUISVILLE, KY | |
B | 07/11/2006 - 01/09/2007 | SHEPHERDSVILLE, KY | |
B | 08/13/1997 - 11/10/2005 | CLEVELAND, OH | |
B | 01/04/1999 - 12/31/2001 | CLEVELAND, OH | |
B | 11/12/1998 - 01/04/1999 | PURCHASE, NY |
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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.
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