Steven G. Howie
Professional summary
Steven Girard Howie is a registered financial professional currently at AXOS CLEARING LLC located in Edison, New Jersey.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1984. Steven has worked at 16 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Girard Howie's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 15, 2013 - Present
AXOS CLEARING LLC
Office #1: 110 Fieldcrest Ave 4th Floor, Edison, NJ 08837September 4, 2012 - July 12, 2013
COWEN PRIME SERVICES LLC
May 26, 2011 - July 25, 2012
RODMAN & RENSHAW, LLC
October 4, 2010 - May 27, 2011
HUDSON SECURITIES,INC.
January 16, 2008 - August 19, 2010
MULTITRADE SECURITIES LLC
January 8, 2008 - August 18, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
July 10, 2006 - May 3, 2007
MESIROW FINANCIAL, INC.
October 22, 2002 - July 14, 2006
CARLIN EQUITIES, LLC
May 8, 2002 - November 4, 2002
ORMES CAPITAL MARKETS, INC.
March 9, 2001 - May 8, 2002
WALL STREET ACCESS
January 8, 1999 - March 12, 2001
HAPOALIM SECURITIES USA, INC.
January 1, 1997 - January 19, 1999
STUART, COLEMAN & CO., INC.
January 30, 1994 - May 21, 1996
GRUNTAL & CO., L.L.C.
May 13, 1993 - January 1, 1994
REICH & CO., INC.
September 3, 1985 - November 15, 1990
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
September 14, 1984 - September 9, 1985
JII SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/10/2015)
(3/10/2015)
(3/10/2015)
(4/4/2014)
(2/12/2014)
(4/3/2014)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX Exchange LLC
Cboe BZX Exchange, Inc.
FINRA
Investors' Exchange LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
AXOS CLEARING LLC
CRD#: 117176 / SEC#: , 8-53595
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXOS SECURITIES, LLC | SOLE OWNER | |
| CROW, DAVID MICHAEL | PRESIDENT, AXOS CLEARING, LLC | 4370102 |
| FAUCHER, KATHY NOEL | AML OFFICER | 6323326 |
| GREEN, HOWARD MICHAEL | CHIEF FINANCIAL OFFICER | 2535812 |
| KINSELLA, SHAWN ROBERT | CHIEF COMPLIANCE OFFICER | 5793966 |
| PLUMMER, JEFFREY KENT | PRINCIPAL OPERATIONS OFFICER | 4576783 |
| SHIRMANG, STEPHEN LOWELL | CHIEF OPERATIONS OFFICER | 3083416 |
Disclosures
| Regulatory Event | 13 |
Red Flags
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