Howard F. Rubin
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.
Howard Frank Rubin was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1984. Howard had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 1992 - February 15, 1994
KEANE SECURITIES CO., INC.
May 29, 1990 - February 14, 1991
GLOBAL AMERICA INCORPORATED
May 9, 1989 - March 12, 1990
LEHMAN BROTHERS INC.
August 7, 1986 - May 6, 1989
D. H. BLAIR & CO., INC.
November 19, 1985 - August 14, 1986
CIBC WORLD MARKETS CORP.
November 13, 1984 - November 1, 1985
BRODIS SECURITIES INCORPORATED
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
KEANE SECURITIES CO., INC.
CRD#: 8452 / SEC#: , 8-25308
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAFFERTY HOLDINGS, LLC | DIRECT OWNER | |
| FELL, JOHN KEITH | PRESIDENT | 1379481 |
| KEANE, JAMES JOSEPH JR | SENIOR VICE PRESIDENT | 265690 |
| O'NEILL, CHRISTOPHER CRAIG | CHIEF COMPLIANCE OFFICER | 4711177 |
| OHEARN, WALTER DONALD JR | SENIOR VICE PRESIDENT, DIRECTOR | 1651213 |
| RAFFERTY, MICHAEL LAWRENCE | SENIOR VICE PRESIDENT, DIRECTOR | 2363413 |
| SIPKIN, JOSEPH GARY | FINANCIAL AND OPERATIONS PRINCIPAL | 1334813 |
Disclosures
| Regulatory Event | 11 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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