Cornelius J. Howe
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.
Cornelius James Howe, who also goes by Neal Howe, was a registered financial professional .
Cornelius is a previously registered financial professional and started their career in finance in 1985. Cornelius had worked at 11 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 3, Series 7, Series 22, Series 6 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2016 - June 5, 2019
FORESIDE FUND SERVICES, LLC
June 5, 2007 - September 24, 2010
HMC INVESTMENTS, LLC
August 31, 2004 - October 16, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
December 20, 2003 - October 16, 2006
FAM DISTRIBUTORS, INC.
July 1, 1998 - January 12, 1999
COWEN AND COMPANY
January 31, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
September 15, 1992 - February 12, 1997
LAZARD FRERES & CO. LLC
January 14, 1991 - September 24, 1992
SCHRODER STRUCTURED INVESTMENTS INC.
January 1, 1990 - December 11, 1990
SCHRODER FUND ADVISORS LLC
December 22, 1986 - April 25, 1989
TRANSAMERICA FUND DISTRIBUTORS, INC.
March 14, 1985 - March 30, 1987
FIDELITY DISTRIBUTORS CORPORATION
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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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