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Roberta Harris

Chief Compliance Officer at Angelo, Gordon & Co.

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

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Roberta Harris is Chief Compliance Officer of Angelo, Gordon & Co., L.P., a New York investment adviser managing $116B. Roberta Harris has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Angelo, Gordon & Co.

Title on Schedule A
Chief Compliance Officer
Control
Roberta Harris is a control person of Angelo, Gordon & Co..
Ownership
An individual ownership band is not available in the source record.
Tenure
Roberta Harris has held the filed role since November 2023.

The firm

Angelo, Gordon & Co., L.P.
New York, NY

Form ADV filed 24 August 2026

$116B AUM366 clients389 advisers19 offices

Career on record

Firms and exams, newest first
  1. Passed Series 79TO · 2026
  2. Passed Series 99TO · 2025
  3. Passed SIE, Series 7TO and Series 24 · 2024

Registrations and exams

Broker registration; no current adviser registration. Roberta Harris has passed 5 qualifying exams.

Examinations

Series 2420 May 2024
Name
General Securities Principal Examination
Series 79TO21 March 2026
Name
Investment Banking Registered Representative Examination
Series 99TO10 July 2025
Name
Operations Professional Examination
Series 7TO9 April 2024
Name
General Securities Representative Examination
SIE8 March 2024
Name
Securities Industry Essentials Examination

Individual record

Full name
Roberta Joann Harris
CRD
6637298
Firm
Angelo, Gordon & Co., L.P.
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 Roberta Harris work?

Roberta Harris has been Chief Compliance Officer of Angelo, Gordon & Co., L.P. since November 2023, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 24 August 2026

Does Roberta Harris have a current investment-adviser registration?

Roberta 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 Roberta Harris passed?

Roberta Harris has passed 5 licensing exams: the SIE, Series 7TO, Series 24, Series 99TO and Series 79TO. The earliest, the SIE, was passed in March 2024.

Source: IAPD individual record, checked 18 October 2026

Leadership at Angelo, Gordon & Co.

Sources

  1. IAPD individual record, CRD 6637298. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Angelo, Gordon & Co., L.P., filed 24 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 Roberta Harris or Angelo, Gordon & Co., L.P. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.