Howard R. Boehringer
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 Robert Boehringer, who also goes by Howard Robert Boehringer Jr, Howard Robert Boehringer, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1985. Howard had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2015 - January 23, 2018
WADDELL & REED
February 6, 2015 - January 23, 2018
WADDELL & REED
September 21, 2009 - December 31, 2014
PFS INVESTMENTS INC.
January 28, 2005 - November 7, 2005
ASSET & FINANCIAL PLANNING, LTD
January 26, 2005 - November 7, 2005
PRIME CAPITAL SERVICES, INC.
January 25, 1999 - January 27, 2003
AVANTAX INVESTMENT SERVICES, INC.
February 11, 1998 - November 19, 1998
CINCINNATI ANALYSTS, INC.
July 8, 1997 - January 28, 1998
INVESTACORP, INC.
July 9, 1990 - December 31, 1994
NORTH AMERICAN MANAGEMENT, INC.
December 16, 1989 - July 11, 1990
LPL FINANCIAL LLC
March 31, 1989 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
September 9, 1987 - July 22, 1988
PHILADELPHIA FINANCIAL ADVISORS, INC.
May 6, 1986 - August 11, 1987
PHILADELPHIA FINANCIAL ADVISORS, INC.
October 7, 1985 - November 18, 1985
J F LOWE & COMPANY INCORPORATED
July 23, 1985 - March 27, 1989
PHILADELPHIA FINANCIAL ADVISORS, 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
Exams
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
