John A. Howard
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.
John Arthur Howard, who also goes by Buddy Howard, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 7 firms and has passed the Series 63, Series 87, 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
January 9, 2012 - January 2, 2013
RIVERSTONE WEALTH MANAGEMENT, INC.
August 8, 2006 - December 21, 2007
MCKINNON & COMPANY, INC.
September 15, 2004 - January 21, 2010
TM CAPITAL LLC
August 31, 1999 - September 2, 2002
TM CAPITAL LLC
November 21, 1995 - February 25, 2000
CAPITAL INVESTMENT GROUP, INC.
July 12, 1991 - December 31, 1995
INVESTORS SECURITY COMPANY, INC.
February 24, 1988 - August 7, 1989
THOMSON MCKINNON SECURITIES INC.
April 25, 1986 - February 24, 1988
CAROLINA SECURITIES 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
RIVERSTONE WEALTH MANAGEMENT, INC.
CRD#: 40418 / SEC#: 801-63700, 8-49047
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
