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Colleen S Harris

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, CA

Los Angeles, CA

Santa Cruz, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-04-22
CA RA APPROVED 2013-04-08
  • TX RA
    APPROVED_RES
    Since 2013-04-22
  • CA RA
    APPROVED
    Since 2013-04-08

Branch Locations

50 W San Fernando St, San Jose, CA 95113 • United States

2049 Century Park E Division - Pacific Coast, Los Angeles, CA 90067 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Fernando CA 03/2013 Present
Previous Registrations
  • 2006-05-05 → 2013-03-22
    Park Avenue Securities Llc
    Sacramento, CA
    Sacramento, CA
  • 1998-08-24 → 2006-01-10
    Morgan Stanley Dw Inc.
    Sacramento, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-09-24
S65 Uniform Investment Adviser Law Examination 1997-09-19
  • S63 Uniform Securities Agent State Law Examination
    1997-09-24
  • S65 Uniform Investment Adviser Law Examination
    1997-09-19
Other Names
  • Colleen Siebert
  • Colleen Siebert Haines
  • Colleen Siebert
  • Colleen Siebert Haines
  • Colleen Siebert Harris

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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