Steven Charles Harris

Current Employers

Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2016-06-08
CA	RA	APPROVED	1999-09-02

TX RA
APPROVED

Since 2016-06-08
CA RA
APPROVED

Since 1999-09-02

Branch Locations

100 Century Center Court Suite 340, San Jose, CA 95112 • United States

Santa Cruz, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Massmutual Life Insurance Co	San Jose	CA	03/1999	Present
Mml Investors Services, Llc	San Jose	CA	03/1999	Present

03/1999 → Present

Massmutual Life Insurance Co

San Jose, CA
03/1999 → Present

Mml Investors Services, Llc

San Jose, CA

Other Businesses

(1) NAME: H & L CABO, LLC INV.REL: YES..ADDR:1051 RIVAGE LANE BURNSVILLE MN 55306 NATURE: VACTION RENTAL HOME POSITION: MANAGER START DATE: 11/1/2016 NO HRS/MO: 2 NO HRS/MO DUR TRADING: 0 (2) NAME: HARRIS PRIVATE WEALTH MANAGEMENT & INSURANCE SOLUTIONS INC INV REL: Y ADD: 100 CENTURY CENTER COURT, SUITE 340, SAN JOSE, CA 95112 NATURE: IA- REP POSITION: PRESIDENT/CEO START DATE: 10/01/2022 NO HRS/MO: 160 NO HRS/MO DUR TRADING: 130 DUTIES: GENERAL MANAGEMENT OF THE FIRM AS WELL AS ACTING AS WEALTH MANAGEMENT ADVISOR TO CLIENTS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-08-27
S63	Uniform Securities Agent State Law Examination	1995-03-29

S65 Uniform Investment Adviser Law Examination

1999-08-27
S63 Uniform Securities Agent State Law Examination

1995-03-29

Designations

Other Names

Steve Harris

View on SEC IAPD