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Brian Harris

Chief Compliance Officer at Ssga Funds Management

Broker registration; no current adviser registrationSEC record checked 18 October 2026

2
Past adviser firms
4
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Brian Harris is Chief Compliance Officer of Ssga Funds Management, Inc., a Boston investment adviser managing $1.42T. Brian Harris has a current broker registration and no current investment-adviser registration and has passed the Series 6, Series 63, Series 65 and SIE.

Role at Ssga Funds Management

Title on Schedule A
Chief Compliance Officer
Control
Brian Harris is a control person of Ssga Funds Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Brian Harris has held the filed role since June 2023.

The firm

Ssga Funds Management, Inc.
Boston, MA

Form ADV filed 28 August 2026

$1.42T AUM339 clients220 advisers4 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Bofa Advisors, LLC
    – · 3 years
    Boston, MA · Adviser representative · Firm CRD 107900
  3. Aarp Financial
    – · 1 year
    Tewksbury, MA · Adviser representative · Firm CRD 137631
  4. Passed Series 63 and Series 65 · 2009
  5. Passed Series 6 · 2008

Registrations and exams

Broker registration; no current adviser registration. Brian Harris has passed 4 qualifying exams.

Examinations

Series 658 July 2009
Name
Uniform Investment Adviser Law Examination
Series 6319 March 2009
Name
Uniform Securities Agent State Law Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 619 December 2008
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Brian Leonard Harris
CRD
5599152
Firm
Ssga Funds Management, Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Brian Harris work?

Brian Harris has been Chief Compliance Officer of Ssga Funds Management, Inc. since June 2023, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 28 August 2026

Does Brian Harris have a current investment-adviser registration?

Brian Harris has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Brian Harris passed?

Brian Harris has passed 4 licensing exams: the Series 6, Series 63, Series 65 and SIE. The earliest, the Series 6, was passed in December 2008.

Source: IAPD individual record, checked 18 October 2026

Where was Brian Harris previously registered as an investment adviser?

Brian Harris has past investment-adviser registrations through Bofa Advisors, LLC, October 2010 to May 2013; Aarp Financial, July 2009 to September 2010, across 2 firms.

Source: IAPD individual record, checked 18 October 2026

Leadership at Ssga Funds Management

Sources

  1. IAPD individual record, CRD 5599152. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Ssga Funds Management, Inc., filed 28 August 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Brian Harris or Ssga Funds Management, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.