Germaine Harris

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2015 → 05/2019
  Fidelity Investments
  Chicago, IL
• 09/2019 → 03/2022
  Sanford C. Bernstein
  New York, NY
• 05/2019 → 08/2019
  Unemployed
  Chicago, IL
• 05/2022 → Present
  Bmo Bank Na
  Chicago, IL
• 05/2022 → Present
  Lpl Financial Llc
  Chicago, IL

Previous Registrations

• 2020-01-01 → 2022-03-23
  Alliancebernstein L.P.
  Chicago, IL
• 2006-01-10 → 2009-11-10
  J.P. Morgan Investment Management Inc.
  New York, NY
• 2004-07-07 → 2005-12-31
  J.P. Morgan Asset Management
  Columbus, OH

Other Businesses

1)05/12/2022 - BMO Investment Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 05/2022 2)05/12/2022 - BMO Bank NA - Financial Institution Duty - Inv Rel - At Reported Business Location(s) - Start: 05/2022 - 160 Hr/Mth

Exams

• S66 Uniform Combined State Law Examination
  2019-12-28
• S63 Uniform Securities Agent State Law Examination
  2001-05-03

Other Names

• Germaine Harris