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Gregory Harrison Resigns from Ameriprise Financial Services

Gregory Harrison (CRD #: 5804566), a broker registered with International Assets Advisory, resigned from his previous firm, according to his BrokerCheck record, accessed on August 13, 2022. Investors may also have engaged his services through International Assets Investment Management. Read on to learn more about his conduct as a broker.

Resignation from Ameriprise Financial Services

On July 7, 2022, Gregory Harrison was permitted to resign from Ameriprise Financial Services following his suspension on May 13, 2022, in connection with alleged firm policy violations related to compliance with disciplinary action, use of discretion, and maintenance of client files.

FINRA Rule 3260

FINRA Rule 3260 prohibits brokers from exercising trading discretion in discretionary accounts, which must be pre-authorized for discretionary trading by the firm and client.

FINRA Rule 4511 

FINRA Rule 4511 requires brokers to maintain books and records as required under FINRA rules and Exchange Act rules. 

Background Information

Gregory Harrison has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination 

Gregory Harrison is a registered broker in 10 states and a registered investment adviser in Arkansas.

He has also worked for the following firms:

  • Ameriprise Financial Services (CRD#:6363)
  • Edward Jones (CRD#:250)
  • Wells Fargo Advisors (CRD#:19616)

Kurta Law Can Help

If you worked with Gregory Harrison and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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