James D. 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.
James David Howard was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 11 firms and has passed the Series 65, Series 63, SIE, 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
August 16, 2017 - July 16, 2018
ULRICH INVESTMENT CONSULTANTS
February 25, 2014 - November 6, 2017
PINKERTON WEALTH PARTNERS
December 3, 2013 - January 14, 2014
PINKERTON WEALTH PARTNERS
September 8, 2009 - December 12, 2009
LPL FINANCIAL LLC
September 8, 2009 - October 9, 2014
LPL FINANCIAL LLC
April 27, 2009 - September 8, 2009
ASSOCIATED SECURITIES CORP.
April 27, 2009 - September 8, 2009
ASSOCIATED SECURITIES CORP.
October 25, 2007 - April 1, 2014
ABRIDGE PARTNERS, LLC
February 5, 2001 - June 17, 2008
FSC SECURITIES CORPORATION
October 20, 2000 - January 29, 2008
FFR ADVISORY LLC
January 6, 1998 - April 29, 2009
FSC SECURITIES CORPORATION
February 16, 1993 - January 6, 1998
JOHN HANCOCK DISTRIBUTORS LLC
February 5, 1993 - December 31, 1997
CETERA WEALTH SERVICES, LLC
April 6, 1991 - March 11, 1992
DATAPLAN SECURITIES, INC.
December 13, 1990 - February 1, 1993
SECURIAN FINANCIAL SERVICES, INC.
January 19, 1988 - February 1, 1993
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
ULRICH INVESTMENT CONSULTANTS
CRD#: 159499 / SEC#: 801-72880
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
ULRICH INVESTMENT CONSULTANTS
CRD#: 159499 / SEC#: 801-72880
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,002 |
| AUM (Assets Under Management) | $ 3,196,950,001 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/13/2024 | ||
| 05/01/2023 | ||
| 11/08/2022 |
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.
