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ANTHONY JAMES HARRIS
TONY HARRIS
CRD#: 4457220
IA
Investment Adviser
B
Broker
PT ASSET MANAGEMENT, LLCCRD#: 107619 500 W. MADISON STREET
SUITE 500
CHICAGO, IL 60661
ALPS DISTRIBUTORS, INC.CRD#: 16853 500 W. Madison Street
Suite 500
Chicago, IL 60661
Registration History
200420062008201020122014201620182020202220242026IAPT ASSET MANAGEMENT, LLC (CRD# 107619)2011 - Present (13 years)BALPS DISTRIBUTORS, INC. (CRD# 16853)2025 - Present (<1 year)BPERFORMANCE TRUST CAPITAL PART... (CRD# 36155)2009 - 2025 (15 years)BHOULIHAN SMITH & COMPANY, INC. (CRD# 42612)2009 - 2009 (<1 year)BBMO CAPITAL MARKETS CORP. (CRD# 16686)2003 - 2007 (3 years)BHARRIS NESBITT CORP. (CRD# 7299)2003 - 2003 (<1 year)IAPT ASSET MANAGEMENT, LLC (CRD# 107619)2011 - 2017 (6 years)
License(s)

State Registrations

IA
Illinois 9/16/2011

B
Illinois 2/3/2025

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PT ASSET MANAGEMENT, LLC (CRD#:107619)
500 W. MADISON STREET SUITE 500, CHICAGO, IL 60661
Registered with this firm since 9/16/2011

B
ALPS DISTRIBUTORS, INC. (CRD#:16853)
500 W. Madison Street Suite 500, Chicago, IL 60661
Registered with this firm since 2/3/2025

Previous Registration(s)
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B
05/27/2009 - 01/31/2025 PERFORMANCE TRUST CAPITAL PARTNERS, LLC (CRD#:36155) CHICAGO, IL
IA
09/16/2011 - 12/31/2017 PT ASSET MANAGEMENT, LLC (CRD#:107619) CHICAGO, IL
B
02/06/2009 - 05/21/2009 HOULIHAN SMITH & COMPANY, INC. (CRD#:42612) CHICAGO, IL
B
11/01/2003 - 02/15/2007 BMO CAPITAL MARKETS CORP. (CRD#:16686) CHICAGO, IL
B
04/10/2003 - 11/01/2003 HARRIS NESBITT CORP. (CRD#:7299) CHICAGO, IL
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B
Broker
IA
Investment Adviser
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.