John N. Howe
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.
John Nelson Howe, who also goes by Jay Nelson Howe, Jay Howe, John Howe, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 7 firms and has passed the Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2004 - December 31, 2013
KMS FINANCIAL SERVICES, INC.
April 23, 1996 - December 31, 2013
KMS FINANCIAL SERVICES, INC.
October 1, 1992 - May 2, 1996
PACIFIC HARBOR SECURITIES, INC.
November 19, 1991 - October 6, 1992
SIGNATOR FINANCIAL SERVICES, INC.
April 26, 1990 - November 15, 1991
ADMINISTRATIVE SYSTEMS, INC.
February 28, 1989 - January 16, 1990
METROPOLITAN NORTHWEST SECURITIES, INC.
September 21, 1987 - December 8, 1989
CAPITAL BROKERAGE CORPORATION
October 20, 1983 - September 9, 1987
N.A. SECURITIES CORPORATION
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
