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KH

Keith B. Howey

Some features on this profile are disabled
CRD#: 1205219
KH

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.

Keith Benjamin Howey was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 1983. Keith had worked at 8 firms and has passed the Series 63, Series 7 and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 3, 1993 - April 3, 2012

WELLS INVESTMENT SECURITIES,INC.

BD
CRD#: 15252
NORCROSS, GA
Past

March 16, 1993 - August 3, 1993

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

January 4, 1991 - May 6, 1991

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

January 4, 1991 - May 6, 1991

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

May 17, 1989 - August 16, 1990

BOUCHER, OEHMKE & COMPANY

BD
CRD#: 17470
Past

October 24, 1988 - January 28, 1989

SOURCE SECURITIES, INC.

BD
CRD#: 8026
Past

February 25, 1987 - September 29, 1988

ARV CAPITAL CORPORATION

BD
CRD#: 17429
Past

November 1, 1983 - January 6, 1986

MCCOMBS SECURITIES CO., INC.

BD
CRD#: 565

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/1984
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 10/28/1983
Direct Participation Programs Representative Examination

Current Firm

WI
WELLS INVESTMENT SECURITIES,INC.
WELLS INVESTMENT SECURITIES,INC.

CRD#: 15252 / SEC#: , 8-31924

BD
Terminated by SEC on 02/15/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 04/20/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WELLS REAL ESTATE FUNDS, INC.SHAREHOLDER
MAGGIORE, JILL WRIGHTCHIEF COMPLIANCE OFFICER1001068
MCCULLOUGH, ROBERT MICHAELTREASURER, CHIEF FINANCIAL OFFICER, FINOP4527932
SIMMONS, RANDY ALLENPRESIDENT & CHIEF EXECUTIVE OFFICER5494021

Disclosures

Regulatory Event2

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.

Company Information

WELLS INVESTMENT SECURITIES,INC.

CRD#: 15252

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