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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 2018-02-14
GA RA APPROVED 2018-01-10
  • TX RA
    APPROVED
    Since 2018-02-14
  • GA RA
    APPROVED
    Since 2018-01-10

Branch Locations

10000 Avalon Blvd, Alpharetta, GA 30009 • 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 Alpharetta GA 09/2017 Present
Unemployed Flowery Branch GA 05/2017 09/2017
St. Louis Cardinals St. Louis MO 02/2013 05/2017
Bank Of America, N.A. Alpharetta GA 02/2018 Present
Other Businesses

I*109526 For profit or not for profit: For-Profit Organization Name of outside business organization: The Navy's Cardinal, LLC Investment related: Y Address of business: Flowery Branch, Georgia 30542 Nature of business: LLC, Position, title, association: General Partner, Start date of relationship: 2/22/2017 Number of hours devoted: 12 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: The purpose The Navy's Cardinal, LLC is to produce a screenplay of my life story. I*117379 For profit or not for profit: For-Profit Organization Name of outside business organization: Mitch Harris Motivational Speaking Investment related: N Address of business: Cumming, Georgia 30028 Nature of business: Sole Proprietorship, Position, title, association: Other, Speaker Start date of relationship: 11/7/2018 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Been asked to do speaking engagements in regards to my military/baseball experiences. These would be motivational/inspirational speeches revolving around my journey of becoming the first Major League Baseball player from the Naval Academy in 100yrs I*123024 For profit or not for profit: For-Profit Organization Name of outside business organization: Mitch Harris Book Investment related: N Address of business: Cumming, Georgia 30028 Nature of business: Other,Contract between the publishing company and myself Position, title, association: Other, Owner of the story rights Start date of relationship: 9/30/2019 Number of hours devoted: 8 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Myself and a ghostwriter have written a proposal for a book that covers my life story. I*1787271, Entity Type:Entity For Profit, Name of OBA:LT4D, LLC Address: Cumming, GA 3028 Investment Related: No, Position, Title, Association:General Partner/Managing Member Employee Start 2/23/24 Date: No Hours: 10 weekly No Hours during trading:0 Duties:This is an LLC my wife and I created for my book that will be coming out later this year. We will run all book related stuff through this LLC as well as any speaking engagements through this as well.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-01-05
  • S66 Uniform Combined State Law Examination
    2018-01-05
Other Names
  • Mitch Harris
  • Mitchell Harris

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