Howard Braff
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 Braff was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1983. Howard had worked at 15 firms and has passed the Series 63, Series 7, Series 4 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
June 4, 2007 - April 29, 2011
PHD CAPITAL
May 2, 2007 - June 1, 2007
AURA FINANCIAL SERVICES, INC.
April 9, 2007 - April 30, 2007
BROOKVILLE CAPITAL PARTNERS
March 21, 2007 - April 2, 2007
JHS CAPITAL ADVISORS, LLC
October 10, 2006 - January 19, 2007
PHD CAPITAL
November 14, 2005 - October 5, 2006
PGP FINANCIAL, INC.
August 6, 2003 - March 30, 2004
MILESTONE GROUP MANAGEMENT LLC
March 4, 2003 - May 14, 2003
GUNNALLEN FINANCIAL, INC
July 27, 2000 - September 7, 2002
KIMBERLY SECURITIES, INC.
September 27, 1993 - June 15, 2000
SCOTTRADE, INC.
November 14, 1991 - September 23, 1993
THE INVESTMENT CENTER, INC.
November 29, 1988 - November 5, 1991
AMERIPRISE ADVISOR SERVICES, INC.
May 18, 1988 - July 1, 1988
WOLFF INVESTMENT GROUP INCORPORATED
August 24, 1987 - May 6, 1988
STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED
October 27, 1986 - June 29, 1987
INVESTORS CENTER, INC.
July 20, 1983 - November 12, 1986
KUHNS BROTHERS & LAIDLAW, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PHD CAPITAL
CRD#: 38785 / SEC#: , 8-48403
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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