Howard L. Blum
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 Leland Blum was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1982. Howard had worked at 11 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 1999 - November 16, 2001
GEM ADVISORS, INC.
August 30, 1996 - May 18, 1999
TRADE.COM ONLINE SECURITIES, INC.
March 15, 1995 - September 11, 1996
PRIME CHARTER LTD.
January 1, 1995 - March 16, 1995
OPPENHEIMER & CO. INC.
May 26, 1993 - January 1, 1995
REICH & CO., INC.
October 22, 1990 - June 2, 1993
CIBC WORLD MARKETS CORP.
January 6, 1988 - October 26, 1990
SCHRODER & CO. INC.
November 11, 1986 - January 22, 1988
MOSELEY SECURITIES CORPORATION
December 23, 1985 - November 20, 1986
BEURET & COMPANY, LTD.
January 16, 1985 - January 1, 1986
D. H. BLAIR & CO., INC.
July 1, 1982 - January 28, 1985
SEAPORT SECURITIES CORP.
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
GEM ADVISORS, INC.
CRD#: 20624 / SEC#: , 8-38146
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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