Thomas J. 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.
Thomas J Howell JR, who also goes by Tom Howell, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 4 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 1991 - July 10, 1993
RONEY & CO. L.L.C.
June 5, 1989 - September 4, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 1988 - May 30, 1989
THE STUART-JAMES COMPANY, INCORPORATED
August 31, 1987 - March 31, 1988
PFS INVESTMENTS 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
Current Firm
RONEY & CO. L.L.C.
CRD#: 900 / SEC#: , 8-104
Contact information
Documents
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.
