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RH

Ruth Howell

Some features on this profile are disabled
CRD#: 1255071
RH

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.

Ruth Howell, who also goes by Ruth Annette Howell, Ruth Ideus Howell, Ruth Ideus, was a registered financial professional .

Ruth is a previously registered financial professional and started their career in finance in 1984. 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.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ruth Annette Howell | Ruth Ideus Howell | Ruth Ideus

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

August 7, 2018 - December 22, 2023

FIRST NATIONAL CAPITAL MARKETS

BD
CRD#: 115920
OMAHA, NE
Past

July 29, 2016 - November 6, 2017

D.A. DAVIDSON & CO.

RIA
CRD#: 199
OMAHA, NE
Past

July 25, 2016 - November 6, 2017

D.A. DAVIDSON & CO.

BD
CRD#: 199
OMAHA, NE
Past

January 19, 2016 - July 28, 2016

SMITH HAYES ADVISERS INC

RIA
CRD#: 110776
LINCOLN, NE
Past

August 28, 2015 - July 25, 2016

SMITH HAYES FINANCIAL SERVICES CORPORATION

BD
CRD#: 17059
LINCOLN, NE
Past

December 1, 2006 - October 29, 2013

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
MINNEAPOLIS, MN
Past

March 24, 2005 - December 1, 2006

USALLIANZ SECURITIES, INC.

BD
CRD#: 40875
MINNEAPOLIS, MN
Past

January 9, 2002 - March 4, 2005

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
LINCOLN, NE
Past

June 19, 1998 - January 2, 2002

SMITH HAYES FINANCIAL SERVICES CORPORATION

BD
CRD#: 17059
LINCOLN, NE
Past

November 19, 1996 - May 7, 1998

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

February 26, 1996 - July 11, 1996

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT PAUL, MN
Past

August 20, 1986 - June 14, 1996

FIRSTIER SECURITIES, INC.

BD
CRD#: 17714
Past

April 18, 1984 - July 2, 1986

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174

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
IAR
Series 65
Date: 1/19/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/6/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/11/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/24/1994
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/30/1992
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 9/8/1989
Financial and Operations Principal Examination

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
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Contact information

Main Address
1620 Dodge Street Stop 1104, Omaha, NE 68197
Mailing Address
Phone number
Established
Nebraska since 07/27/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

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 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

FIRST NATIONAL CAPITAL MARKETS

CRD#: 115920

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