Howard C. Burns
Professional summary
Howard Charles Burns was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Howard is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Howard had worked at 4 firms, which includes NTB FINANCIAL CORPORATION, A. G. EDWARDS & SONS INC., MORGAN STANLEY DW INC., WALFORD DEMARET & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1987 - April 24, 2008
NTB FINANCIAL CORPORATION
October 3, 1985 - March 20, 1987
A. G. EDWARDS & SONS, INC.
March 25, 1982 - October 14, 1985
MORGAN STANLEY DW INC.
August 6, 1981 - January 26, 1982
WALFORD, DEMARET & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
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