Howard Titen

CETERA ADVISORS LLC

Eatontown, NJ 07724

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CRD#: 1040033

Professional summary

Howard Titen, who also goes by Howard Irwin Titen, is a registered financial professional currently at CETERA ADVISORS LLC located in Eatontown, New Jersey.

Howard is registered as a RR (Registered Representative) and started their career in finance in 1982. Howard has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 53, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Howard Irwin Titen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.)HBK ASSOCIATES; SOLE PROPRIETER; START DATE:9/16/2008 2.)HBK ASSOCIATES; OWNER; NON-CPA ACCOUNTING AND/OR TAX PREPARATION; STATE DATE 01/10/2019; 8 HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Howard Titen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 12 Christopher Way, Suite #200, Eatontown, NJ 07724

CRD#: 10299

Eatontown, NJ

Past

November 12, 2020 - December 31, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

EATONTOWN, NJ

Past

July 2, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

EATONTOWN, NJ

Past

December 9, 2008 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

EATONTOWN, NJ

Past

December 9, 2008 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

EATONTOWN, NJ

Past

September 27, 2006 - December 9, 2008

FIRST MONTAUK SECURITIES CORP.

RIA

CRD#: 13755

RED BANK, NJ

Past

September 27, 2006 - December 9, 2008

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

July 21, 2003 - October 3, 2006

J. B. HANAUER & CO.

RIA

CRD#: 6958

PARSIPPANY, NJ

Past

September 17, 2002 - October 3, 2006

J. B. HANAUER & CO.

CRD#: 6958

PARSIPPANY, NJ

Past

December 8, 1999 - September 18, 2002

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

September 2, 1997 - December 10, 1999

ATLANTIC GROUP SECURITIES, INC.

CRD#: 42194

MILLBURN, NJ

Past

May 24, 1991 - August 29, 1997

RICKEL & ASSOCIATES, INC.

CRD#: 7839

NEW YORK, NY

Past

September 8, 1986 - May 10, 1991

YORK SECURITIES, INC.

CRD#: 8056

Past

June 5, 1985 - July 25, 1986

TRADEX BROKERAGE SERVICE, INC.

CRD#: 8028

Past

April 22, 1982 - May 10, 1991

YORK SECURITIES, INC.

CRD#: 8056

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/8/2022)

Florida
(9/8/2022)

New Jersey
(9/8/2022)

New York
(9/8/2022)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/22/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/2/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/19/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/18/1982

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 6/23/1982

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/21/1982

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA ADVISORS LLC

CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111

Mailing Address

400 First Street South Suite 300, Saint Cloud, MN 56301

Phone number

(800) 929-3485

Established

Delaware since 08/31/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,138

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

Name	Position	CRD#
CETERA FINANCIAL GROUP, INC.	SOLE MEMBER
ARNOLD, SUMMER SELTZER	VICE PRESIDENT	2954103
BUCHHEISTER, JEFFREY ROBERT	CHIEF FINANCIAL OFFICER	4709900
BUDEVICH, SERGE	VICE PRESIDENT AND TAX OFFICER	7996345
DEL VALLE, ELISA ANNE-MARIE	VICE PRESIDENT	4807911
DOWELL, RODNEY CAMMERON	PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT	7376607
FRIES, MATTHEW NEIL KALANI	VICE PRESIDENT	2723824
GOK, LISA ANNE	SECRETARY	5059738
HALLORAN, THOMAS WILLIAM	CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER	1921834
HOLWEGER, KIMBERLEY	CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER	1572778
LEE, WINNIE AI-LING	ASSISTANT SECRETARY	7381661
MACKAY, TODD CHRISTOPHER	MANAGER	2799860
MCCALLOP, PATRICIA RUTHERFORD	BROKER DEALER CHIEF COMPLIANCE OFFICER	5059176
MERRILL, GARRETT JAMES	VICE PRESIDENT	4306692
MIZUGUCHI, MAURA	CHIEF ACCOUNTING OFFICER AND TREASURER	5769181
NEARY, JOSEPH DANIEL	MANAGER AND VICE PRESIDENT	2993505
RAMOS, RAMON	MONEY LAUNDERING REPORTING OFFICER	2160203
SMILEY, STANLEY ROBERT	VICE PRESIDENT	3004604
STINSON, TIMOTHY EARL MCCOY	VICE PRESIDENT	2272183
VAN HAVERMAAT, DAVID JAMES	ASSISTANT SECRETARY	7042846
VOGEL, RICHARD CHARLES	VICE PRESIDENT	4024999

Regulatory assets under management

Total Number of Accounts	81,652
AUM (Assets Under Management)	$ 21,989,347,265

Disclosures

Regulatory Event	14
Civil Event	1
Arbitration	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2023	Cover Page	Report

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.

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Howard Titen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Howard Titen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST MONTAUK SECURITIES CORP.

FIRST MONTAUK SECURITIES CORP.

J. B. HANAUER & CO.

J. B. HANAUER & CO.

J.J.B. HILLIARD, W.L. LYONS, LLC

ATLANTIC GROUP SECURITIES, INC.

RICKEL & ASSOCIATES, INC.

YORK SECURITIES, INC.

TRADEX BROKERAGE SERVICE, INC.

YORK SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2000

Series 63

Date: 10/22/1985

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 9/2/1986

Series 7

Date: 4/19/1982

Series 53

Date: 11/18/1982

Series 27

Date: 6/23/1982

Series 24

Date: 5/21/1982

FINRA

Current Firm

CETERA ADVISORS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CETERA ADVISORS LLC

TRUST BUT VERIFY

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