HS
Howard E. Sharfman
KESTRA INVESTMENT SERVICES
Chicago, IL 60661
Some features on this profile are disabled
CRD#: 1753378
HS
Professional summary
Howard Evan Sharfman is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Chicago, Illinois.
Howard is registered as a RR (Registered Representative) and started their career in finance in 1987. Howard has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Howard Evan Sharfman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 24, 2000 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 500 West Madison Street Suite 3200, Chicago, IL 60661BD
CRD#: 42046
Chicago, IL
Past
October 10, 1997 - May 19, 2000
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
November 17, 1987 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
CHICAGO, IL
Past
November 17, 1987 - December 21, 2011
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(3/8/2012)
RR
Arizona(7/2/2002)
RR
Arkansas(3/5/2012)
RR
California(7/24/2001)
RR
Connecticut(8/1/2019)
RR
Delaware(10/20/2022)
RR
District of Columbia(12/5/2018)
RR
Florida(7/25/2001)
RR
Georgia(7/9/2025)
RR
Hawaii(2/9/2024)
RR
Illinois(4/24/2000)
RR
Indiana(2/12/2002)
RR
Iowa(12/10/2018)
RR
Kentucky(1/9/2012)
RR
Maryland(6/29/2016)
RR
Massachusetts(2/22/2022)
RR
Michigan(11/16/2001)
RR
Minnesota(3/8/2022)
RR
Missouri(8/14/2001)
RR
Montana(3/27/2019)
RR
Nebraska(6/17/2020)
RR
Nevada(9/9/2022)
RR
New Jersey(8/10/2022)
RR
New York(11/21/2019)
RR
North Carolina(8/15/2023)
RR
Ohio(7/25/2001)
RR
Oklahoma(8/20/2014)
RR
Oregon(5/24/2022)
RR
Pennsylvania(12/2/2015)
RR
Rhode Island(12/14/2018)
RR
South Carolina(11/6/2023)
RR
South Dakota(8/20/2014)
RR
Texas(4/4/2006)
RR
Utah(12/2/2015)
RR
Virginia(12/4/2018)
RR
Washington(5/2/2022)
RR
Wisconsin(6/11/2009)
RR
Wyoming(4/21/2003)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KI
KESTRA INVESTMENT SERVICES, LLC
KESTRA INVESTMENT SERVICES, LLC | PARTNERS SECURITIES, INC. | NFP SECURITIES, INC. | NFP SECIRITIES, INC. | NFP ADVISOR SERVICES, LLC | NFP ADVISOR SERVICES
CRD#: 42046 / SEC#: , 8-49672
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
5707 Southwest Parkway 2-125, Austin, TX 78746
Mailing Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Phone number
(844) 553-7872
Established
Texas since 09/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
