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Spencer B Harris

Ameriprise Financial Services, LLC

New Orleans, LA

New Orleans, LA

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2015-10-23
TX RA APPROVED 2009-10-30
  • LA RA
    APPROVED
    Since 2015-10-23
  • TX RA
    APPROVED
    Since 2009-10-30

Branch Locations

1100 Poydras St Ste 1000, New Orleans, LA 70163-1000 • United States

New Orleans, LA • 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
Ameriprise Financial Services, Inc. New Orleans LA 10/2009 03/2020
Ameriprise Financial Services, Llc New Orleans LA 03/2020 Present
Previous Registrations
  • 2009-06-01 → 2009-11-02
    Morgan Stanley
    New Orleans, LA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    New Orleans, LA
  • 2007-03-27 → 2007-04-02
    Morgan Stanley Dw Inc.
    New Orleans, LA
    New Orleans, LA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-05
S63 Uniform Securities Agent State Law Examination 1998-09-30
  • S65 Uniform Investment Adviser Law Examination
    1998-10-05
  • S63 Uniform Securities Agent State Law Examination
    1998-09-30
Other Names
  • Spencer Berry Harris
  • Spencer B Harris Jr
  • Spencer B Harris
  • Spencer B Harris Jr.
  • Spencer Harris

View on SEC IAPD

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Other Investors

CHRISTINE CHAMPAGNE MONTZ
JOSEPH CHARLES MONTZ
Morell S Crane
Bennett Lyle Duffy
ALEXANDER BRUCE HARCUS
Mary Elizabeth Brown
RONALD H. DAWSON, JR.
Jessica Leigh Marasco

Other Offices

MONTZ HARCUS WEALTH MANAGEMENT · NEW ORLEANS, LA
BEACON POINTE ADVISORS, LLC · NEW ORLEANS, LA
EDWARD JONES · NEW ORLEANS, LA
LPL FINANCIAL LLC · NEW ORLEANS, LA
STATE FARM INVESTMENT MANAGEMENT CORP. · New Orleans, LA
STATE FARM INVESTMENT MANAGEMENT CORP. · NEW ORLEANS, LA
LPL FINANCIAL LLC · NEW ORLEANS, LA
CETERA INVESTMENT ADVISERS LLC · NEW ORLEANS, LA

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