Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that former Arizona-based First Financial Equity Corporation broker/adviser Robert Harris has received a pending customer complaint and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Harris (CRD# 5232698).
Robert Harris has spent 11 years in the securities industry and was most recently registered with First Financial Equity Corporation in Tucson, Arizona (2015-2018). Previous registrations include H. Beck in Tucson, Arizona (2009-2015); Merrill Lynch in Tucson, Arizona (2007-2009); and AXA Advisors in Tucson, Arizona (2007). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 30, 2007; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 1, 2007. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one pending customer complaint and four unsatisfied tax liens.