Howard E. Shelly
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 Everett Shelly, who also goes by Howard Everrett Shelly, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1983. Howard had worked at 16 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2011 - December 26, 2014
NEWPORT COAST SECURITIES, INC.
October 13, 2006 - October 28, 2009
A.G.P. / ALLIANCE GLOBAL PARTNERS
April 12, 2001 - December 31, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 21, 2000 - April 18, 2001
FINANCE 500, INC.
March 4, 1999 - December 6, 1999
BROOKSTREET SECURITIES CORPORATION
January 19, 1999 - February 23, 1999
GLOBAL CAPITAL SECURITIES CORPORATION
April 9, 1998 - September 25, 1998
NATIONAL SECURITIES CORPORATION
June 10, 1997 - November 17, 1997
FIRST LIBERTY INVESTMENT GROUP, INC.
February 20, 1997 - June 19, 1997
SPECTRUM SECURITIES, INC.
August 21, 1996 - February 27, 1997
THE BOSTON GROUP
February 1, 1996 - August 27, 1996
SPECTRUM SECURITIES, INC.
January 25, 1995 - December 14, 1995
TRADEPORTAL SECURITIES, INC.
October 12, 1994 - May 26, 1995
REGENCY CAPITAL GROUP, INC.
April 22, 1994 - September 21, 1994
MERCHANT BANKING SERVICES, INC.
April 1, 1991 - February 16, 1995
SOUTHERN CALIFORNIA SECURITIES, INC.
March 30, 1990 - March 27, 1991
NEWPORT COAST SECURITIES, INC.
February 2, 1990 - March 29, 1990
ROBERT THOMAS SECURITIES, INC
March 22, 1983 - February 14, 1990
MUNICICORP OF CALIFORNIA
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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