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Ruth Howell

CRD# 1255071·Registered 1984 - 2023
Previously Registered: Being a previously registered professional could mean that Ruth 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.

Professional Summary

Ruth Howell, who also goes by Ruth Annette Howell, Ruth Ideus Howell, Ruth Ideus, was a registered financial advisor. Ruth was a previously registered financial professional and started their career in finance 1984 - 2023. Ruth had worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 4, Series 24, Series 53 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ruth Annette Howell, Ruth Ideus Howell, Ruth Ideus

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

42 years in the financial services industry

Current & Past Employments

FIRST NATIONAL CAPITAL MARKETS·CRD# 115920
BD
Omaha, NE
August 7, 2018 - December 22, 2023
D.A. DAVIDSON & CO.·CRD# 199
RIA
Omaha, NE
July 29, 2016 - November 6, 2017
D.A. DAVIDSON & CO.·CRD# 199
BD
Omaha, NE
July 25, 2016 - November 6, 2017
SMITH HAYES ADVISERS INC·CRD# 110776
RIA
Lincoln, NE
January 19, 2016 - July 28, 2016
SMITH HAYES FINANCIAL SERVICES CORPORATION·CRD# 17059
BD
Lincoln, NE
August 28, 2015 - July 25, 2016
QUESTAR CAPITAL CORPORATION·CRD# 43100
BD
Minneapolis, MN
December 1, 2006 - October 29, 2013
USALLIANZ SECURITIES, INC.·CRD# 40875
BD
Minneapolis, MN
March 24, 2005 - December 1, 2006
ALLSTATE FINANCIAL SERVICES, LLC·CRD# 18272
BD
Lincoln, NE
January 9, 2002 - March 4, 2005
SMITH HAYES FINANCIAL SERVICES CORPORATION·CRD# 17059
BD
Lincoln, NE
June 19, 1998 - January 2, 2002
AMERITAS INVESTMENT COMPANY, LLC·CRD# 14869
BD
Lincoln, NE
November 19, 1996 - May 7, 1998
U.S. BANCORP INVESTMENTS, INC.·CRD# 17868
BD
Saint Paul, MN
February 26, 1996 - July 11, 1996
FIRSTIER SECURITIES, INC.·CRD# 17714
BD
August 20, 1986 - June 14, 1996
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
April 18, 1984 - July 2, 1986

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Current Firm

FN
FIRST NATIONAL CAPITAL MARKETS

FIRST NATIONAL BANK SOUTH DAKOTA INVESTMENTS AND PLANNING | SHELBY COUNTY INVESTMENT CENTER | PLATTE VALLEY INVESTMENTS AND PLANNING | FREMONT NATIONAL INVESTMENTS AND PLANNING | FIRST NATIONAL WEALTH MANAGEMENT | FIRST NATIONAL WEALTH ADVISORS | FIRST NATIONAL NORTH PLATTE INVESETMENTS AND PLANNING | FIRST NATIONAL INVESTMENTS & PLANNING | FIRST NATIONAL INVESTMENT BANKING | FIRST NATIONAL CAPITAL MARKETS, INC. | FIRST NATIONAL CAPITAL MARKETS

CRD#: 115920 / SEC#: 801-71101, 8-53514
BD
Terminated by SEC on 02/20/2024

Contact Information

Established

Nebraska since 07/27/2001

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

Documents

Latest Form ADV

Part 2 Brochures

FIRST NATIONAL CAPITAL MARKETS (6/25/2015)

Direct owners and executive officers

NamePositionCRD#
FIRST NATIONAL INVESTMENT BANKING, INC.DIRECT OWNER—
RICHTER, CHARLES HENRYCHIEF COMPLIANCE OFFICER1839310

Disclosures

Regulatory Event

2

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 2016About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1984About the Series 63 exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1984About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Jun 1999About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Oct 1994About the Series 24 exam

Series 53 — Municipal Securities Principal Examination

Passed Jul 1992About the Series 53 exam

Series 27 — Financial and Operations Principal Examination

Passed Sep 1989About the Series 27 exam

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CRS (Client Relationship Summary)

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

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