Craig S. 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.
Craig Stewart Howard was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1987. Craig had worked at 10 firms and has passed the Series 63, Series 55, Series 7, Series 24, Series 26 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
September 7, 2011 - November 25, 2013
INSTINET, LLC
August 14, 2008 - July 25, 2011
DEMATTEO RESEARCH LLC
June 1, 2006 - August 6, 2008
INSTINET, LLC
November 28, 2003 - June 1, 2006
INSTINET, LLC
November 21, 2000 - July 17, 2003
PROTRADER SECURITIES L.P.
May 31, 1996 - October 23, 2000
FEDERATED SECURITIES CORP.
March 1, 1995 - May 2, 1996
BOFA DISTRIBUTORS, INC.
January 3, 1995 - March 1, 1995
COLONIAL INVESTMENT SERVICES
November 10, 1993 - September 23, 1994
BA INVESTMENT SERVICES, INC.
March 9, 1988 - June 14, 1990
CAPITAL BROKERAGE CORPORATION
May 19, 1987 - February 23, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
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 55
Date: 3/1/2005
Limited Representative-Equity Trader ExamSeries 8
Date: 8/24/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTINET HOLDINGS INCORPORATED | DIRECT OWNER | |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER | 2976702 |
| CONE, RANDI J | CHIEF COMPLIANCE OFFICER | 4811453 |
| KENNIFF, ALICE M | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER) | 5615714 |
| MAURO, LUKE | HEAD OF OPERATIONS | 4188932 |
| MILLIGAN, GERARD THOMAS | PRESIDENT | 2907544 |
| SCHAFFNER, CHRISTY E | PRINCIPAL FINANCIAL OFFICER | 2710171 |
| SISKOVIC, JULIE MARIE | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | 1385048 |
| WEBB, FARON ROSS | GENERAL COUNSEL | 2452057 |
Disclosures
| Regulatory Event | 63 |
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.
