Howard D. Sterling
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 David Sterling was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1985. Howard had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2016 - March 22, 2017
KATALYST SECURITIES LLC
January 31, 2014 - June 16, 2014
WESTPARK CAPITAL, INC.
January 9, 2012 - March 19, 2013
MOODY CAPITAL SOLUTIONS, INC
May 12, 2009 - February 12, 2010
HUDSON SECURITIES,INC.
April 30, 2007 - April 1, 2008
NATIONAL SECURITIES CORPORATION
September 20, 2006 - April 2, 2007
CARTER SECURITIES, LLC
June 29, 2005 - September 11, 2006
RODMAN & RENSHAW, LLC
August 23, 2004 - June 24, 2005
LAIDLAW & COMPANY (UK) LTD.
October 12, 1995 - August 23, 2004
SANDS BROTHERS & CO., LTD.
September 14, 1995 - September 20, 1995
H.J. MEYERS & CO., INC.
January 30, 1992 - October 18, 1994
OSCAR GRUSS & SON INCORPORATED
August 7, 1990 - February 21, 1992
MEYERS SECURITIES CORPORATION
May 1, 1989 - June 12, 1990
LADENBURG THALMANN & CO. INC.
May 19, 1987 - April 12, 1989
J.P. MORGAN SECURITIES LLC
October 3, 1985 - February 3, 1987
ROONEY, PACE INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KATALYST SECURITIES LLC
CRD#: 112494 / SEC#: , 8-53260
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES OPERATIONS SPECIALISTS INC. | SHAREHOLDER | |
| KEMPISTY, PHILIP CHARLES | CHIEF COMPLIANCE OFFICER | 1279668 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
