Daniel R. Howard
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.
Daniel Richard Howard was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1983. Daniel had worked at 9 firms and has passed the Series 65, Series 63, Series 15, 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
October 11, 2001 - September 11, 2002
ACUMENT SECURITIES, INC.
July 7, 1999 - November 18, 1999
BROOKSTREET SECURITIES CORPORATION
November 9, 1998 - January 13, 1999
MOORS & CABOT, INC.
July 24, 1998 - October 26, 1998
NATIONAL SECURITIES CORPORATION
August 19, 1997 - July 24, 1998
THE BOSTON GROUP
August 10, 1995 - July 29, 1997
H.J. MEYERS & CO., INC.
June 11, 1990 - August 16, 1995
GLEACHER & COMPANY SECURITIES, INC.
March 20, 1984 - September 21, 1990
PRUDENTIAL EQUITY GROUP, LLC
April 19, 1983 - February 29, 1984
J.P. MORGAN SECURITIES LLC
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
Series 15
Date: 6/12/1984
Foreign Currency Options ExaminationCurrent Firm
ACUMENT SECURITIES, INC.
CRD#: 7661 / SEC#: , 8-22999
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
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.
