James H. Howland
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.
James Harold Howland was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 9 firms and has passed the Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2012 - March 6, 2014
STERN BROTHERS & CO.
September 27, 2011 - June 27, 2012
FELTL & COMPANY
October 3, 2008 - September 7, 2011
MELVIN SECURITIES, L.L.C.
April 7, 2005 - October 1, 2008
SBK-BROOKS INVESTMENT CORP.
November 15, 2002 - March 31, 2005
MELVIN SECURITIES, L.L.C.
January 19, 2000 - January 9, 2001
LOOP CAPITAL MARKETS LLC
April 7, 1997 - July 8, 1999
WELLS FARGO CLEARING SERVICES, LLC
April 1, 1996 - April 3, 1997
WILLIAM BLAIR
September 4, 1990 - April 10, 1996
WELLS FARGO CLEARING SERVICES, LLC
June 27, 1984 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
May 10, 1982 - June 12, 1984
BECKER PARIBAS INCORPORATED
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
STERN BROTHERS & CO.
CRD#: 16325 / SEC#: , 8-33724
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| ESSERT, GLENN EDWARD | CHIEF COMPLIANCE OFFICER, AMLCO | 1447868 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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