Patricia E. Howe

HOWE FINANCIAL ADVISORY

SEATTLE, WA

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CRD#: 1163095

Professional summary

Patricia E Howe, CFP®, who also goes by Patricia Ann Emerson, Patricia Ann Howe, Patricia Emerson Howe Ms., Patricia Emerson Howe, Trish Howe, is a registered financial advisor currently at HOWE FINANCIAL ADVISORY, LLC located in Seattle, Washington.

Patricia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Patricia has worked at 11 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patricia Ann Emerson | Patricia Ann Howe | Patricia Emerson Howe Ms. | Patricia Emerson Howe | Trish Howe

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

CBH BUSINESS IS INVESTMENT RELATED (VACATION RENTAL). ADDRESS IS 5825 OBERLIN AVE NE SEATTLE, WA 98105. JOINT OWNER OF BUSINESS PROPERTY. START DATE 1997. 0 HOURS PER MONTH DEVOTED TO BUSINESS DURING SECURITIES TRADING HOURS. NO DUTIES. HUSBAND IS THE ACTIVE PARTNER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patricia E Howe's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

February 8, 2013 - Present

HOWE FINANCIAL ADVISORY, LLC

RIA

CRD#: 165709

SEATTLE, WA

Past

June 1, 2009 - October 18, 2012

MORGAN STANLEY

RIA

CRD#: 149777

SEATTLE, WA

Past

June 1, 2009 - October 18, 2012

MORGAN STANLEY

CRD#: 149777

SEATTLE, WA

Past

December 17, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SEATTLE, WA

Past

November 21, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SEATTLE, WA

Past

October 23, 2006 - October 31, 2008

PATRICIA E. HOWE, REGISTERED INVESTMENT ADVISOR, LLC

RIA

CRD#: 140315

SEATTLE, WA

Past

February 9, 2004 - July 7, 2006

LESA SROUFE & COMPANY, INC.

RIA

CRD#: 130232

SEATTLE, WA

Past

May 2, 2001 - September 11, 2003

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

August 24, 2000 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

September 3, 1997 - August 1, 2000

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

July 20, 1994 - September 3, 1997

U.S. BANCORP SECURITIES

CRD#: 17439

PORTLAND, OR

Past

December 6, 1983 - August 26, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 21, 1983 - December 2, 1983

FOSTER & MARSHALL INC.

CRD#: 321

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(2/8/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/13/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/28/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/16/2008

General Securities Representative Examination

Current Firm

HOWE FINANCIAL ADVISORY, LLC

HOWE FINANCIAL ADVISORY, LLC | HOWE, PATRICIA EMERSON

CRD#: 165709 / SEC#:

North Carolina

Registered Investment Advisory firm - (3/20/2014 Terminated)

Washington

Registered Investment Advisory firm - (2/8/2013 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Seattle, WA

Mailing Address

5825 Oberlin Ave Ne, Seattle, WA 98105

Phone number

(206) 755-4489

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 11,753,000

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.

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Firm Stability Insights

Patricia E. Howe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patricia E Howe's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

PATRICIA E. HOWE, REGISTERED INVESTMENT ADVISOR, LLC

LESA SROUFE & COMPANY, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP SECURITIES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FOSTER & MARSHALL INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/13/2009

Series 63

Date: 7/28/1983

Series 7

Date: 12/16/2008

Current Firm

HOWE FINANCIAL ADVISORY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HOWE FINANCIAL ADVISORY, LLC

TRUST BUT VERIFY

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