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Alexandra Harris
Alex Harris, Alexandra E Harris, Alexandra Elizabeth Harris
CRD#: 6960517
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1501 K STREET NORTH WEST
11TH FLOOR
WASHINGTON, DC 20005
Registration History
201920202021202220232024202520263 FIRMS2019 - 2022 (3 years)2 FIRMS2022 - 2022 (<1 year)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Arizona 11/3/2022

B
New Jersey 11/3/2022

B
California 11/3/2022

B
New York 11/3/2022

B
Colorado 4/22/2024

B
North Carolina 11/3/2022

B
Connecticut 11/3/2022

B
Ohio 9/16/2024

B
Delaware 11/3/2022

B
Pennsylvania 11/3/2022

B
District of Columbia 11/3/2022

B
South Carolina 11/3/2022

IA
District of Columbia 11/8/2022

B
South Dakota 11/3/2022

B
Florida 11/3/2022

B
Tennessee 11/3/2022

B
Georgia 4/22/2024

B
Texas 11/3/2022

B
Illinois 11/3/2022

B
Virginia 11/3/2022

B
Kentucky 11/3/2022

IA
Virginia 11/3/2022

B
Maryland 11/3/2022

B
Washington 11/3/2022

B
Massachusetts 11/3/2022

B
West Virginia 11/3/2022

B
Montana 11/3/2022

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1501 K STREET NORTH WEST 11TH FLOOR, WASHINGTON, DC 20005
Registered with this firm since 11/3/2022

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1501 K STREET NORTH WEST 11TH FLOOR, WASHINGTON, DC 20005
Registered with this firm since 11/3/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/30/2022 - 10/24/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) Washington, DC
IA
09/16/2019 - 10/24/2022 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Washington, DC
B
01/26/2022 - 10/24/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) Washington, DC
B
08/23/2019 - 10/24/2022 TD AMERITRADE, INC. (CRD#:7870) WASHINGTON, DC
IA
09/16/2019 - 10/14/2022 TD AMERITRADE, INC. (CRD#:7870) WASHINGTON, DC
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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.