Jeff S. 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.
Jeff S. Howe, who also goes by Jeff Howe, Jeffrey Scott Howe, was a registered financial professional .
Jeff is a previously registered financial professional and started their career in finance in 1983. Jeff had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2018 - May 10, 2023
LPL FINANCIAL LLC
February 14, 2018 - May 10, 2023
LPL FINANCIAL LLC
September 20, 2013 - February 20, 2018
INVEST FINANCIAL CORPORATION
April 11, 2013 - February 14, 2018
INVEST FINANCIAL CORPORATION
September 19, 2012 - March 20, 2013
SANTANDER SECURITIES LLC
September 19, 2012 - March 20, 2013
SANTANDER SECURITIES LLC
May 27, 2008 - September 19, 2012
LPL FINANCIAL LLC
May 27, 2008 - September 19, 2012
LPL FINANCIAL LLC
July 17, 2007 - May 27, 2008
IFMG SECURITIES, INC.
July 16, 2007 - May 27, 2008
IFMG SECURITIES, INC.
January 4, 2005 - July 10, 2007
PNC WEALTH MANAGEMENT LLC
May 18, 2004 - July 10, 2007
PNC WEALTH MANAGEMENT LLC
January 15, 2003 - May 11, 2004
WAYPOINT BROKERAGE SERVICES
August 23, 2000 - July 5, 2002
ESSEX NATIONAL SECURITIES, LLC
September 15, 1983 - August 22, 2000
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
