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Michael A Harris

LPl Enterprise, LLC

Raleigh, NC

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Current Employers
Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-11-14
  • NC RA
    APPROVED
    Since 2024-11-14

Branch Locations

1405 Hillsborough Street Suite 101, Raleigh, NC 27605 • 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
Morgan Stanley Raleigh NC 09/2011 10/2020
Morgan Stanley Private Bank, National Association New York NY 02/2017 10/2020
Pruco Securities, Llc. Charlotte NC 09/2021 11/2024
Prudential Insurance Company Of America Charlotte NC 09/2021 Present
Unemployed Raleigh NC 10/2020 09/2021
Lpl Enterprise, Llc Charlotte NC 11/2024 Present
  • 09/2011 → 10/2020
    Morgan Stanley
    Raleigh, NC
  • 02/2017 → 10/2020
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 09/2021 → 11/2024
    Pruco Securities, Llc.
    Charlotte, NC
  • 09/2021 → Present
    Prudential Insurance Company Of America
    Charlotte, NC
  • 10/2020 → 09/2021
    Unemployed
    Raleigh, NC
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-02-25
  • S66 Uniform Combined State Law Examination
    2011-02-25
Other Names
  • Michael Allen Harris
  • Michael A Harris

View on SEC IAPD

Other Firms

TOWNSEND ASSET MANAGEMENT CORP.
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OLDE RALEIGH FINANCIAL GROUP
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
ADVISORY SERVICES NETWORK
WELLS FARGO CLEARING SERVICES, LLC
EDWARD JONES
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH
William Dean Cotton
Earl Scott Butcher
DAVID JEFFREY HERMAN
JAY DAVID MCKINNEY
BRANDON ALAN WALLS

Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

More in Raleigh, NC

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