Howard Levine
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 Levine was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1987. Howard had worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2023 - June 2, 2026
J.H. DARBIE & CO., INC.
February 28, 2017 - March 29, 2021
OPPENHEIMER & CO. INC.
December 14, 2012 - February 28, 2017
B. RILEY WEALTH MANAGEMENT
October 17, 2008 - December 17, 2012
SANDERS MORRIS LLC
February 21, 2003 - November 4, 2008
OPPENHEIMER & CO. INC.
October 10, 1994 - February 27, 2003
CITIGROUP GLOBAL MARKETS INC.
February 26, 1987 - October 21, 1994
LEHMAN BROTHERS 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 7TO
Date: 10/18/2023
General Securities Representative ExaminationCurrent Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| 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.
