Jeffery N. Howell
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.
Jeffery Neal Howell, who also goes by Jeff Howell, was a registered financial professional .
Jeffery is a previously registered financial professional and started their career in finance in 1985. Jeffery had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 1999 - December 31, 2015
FINANCIAL WEST GROUP
December 21, 1994 - May 4, 1999
EQIS SECURITIES, LLC
October 10, 1990 - October 26, 1994
UBS FINANCIAL SERVICES INC.
February 15, 1988 - October 25, 1990
LEHMAN BROTHERS INC.
October 23, 1985 - February 15, 1988
E. F. HUTTON & COMPANY 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
Series 8
Date: 8/4/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
