Howard S. Singer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Howard Seymour Singer, who also goes by Howard S Singer, Howard Singer, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1989. Howard had worked at 16 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2004 - August 6, 2004
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
September 17, 2002 - October 17, 2003
GATES CAPITAL CORPORATION
May 16, 2001 - July 11, 2002
CONTINENTAL BROKER-DEALER CORP.
January 2, 2001 - April 24, 2001
MESIROW FINANCIAL, INC.
July 6, 1998 - January 2, 2001
SUNCOAST CAPITAL GROUP, LTD.
May 8, 1997 - July 7, 1998
ACCESS FINANCIAL GROUP, INC.
August 2, 1996 - February 19, 1997
KILEY PARTNERS, INC.
December 14, 1995 - July 18, 1996
AMUNI FINANCIAL, INC.
June 8, 1995 - November 8, 1995
TDI, INCORPORATED
February 13, 1995 - December 19, 1995
MEYERS POLLOCK ROBBINS, INC.
September 20, 1994 - December 19, 1994
CHILIAN PARTNERS, L.P.
January 27, 1994 - August 1, 1994
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
February 14, 1992 - March 3, 1998
GRUNTAL & CO., L.L.C.
February 3, 1992 - February 9, 1994
GMS GROUP
February 25, 1991 - October 16, 1991
KMU SECURITIES CORPORATION
September 21, 1989 - February 13, 1991
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
CRD#: 118812 / SEC#: , 8-53687
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
