Howard F. Finkel
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 Floyd Finkel, who also goes by Howard F Finkel, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1993. Howard had worked at 5 firms and has passed the Series 63, SIE, Series 3, 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
May 1, 2013 - July 31, 2015
BTIG, LLC
April 5, 2004 - September 30, 2009
MILLENCO LLC
March 13, 2001 - March 11, 2003
TD SECURITIES (USA) LLC
January 5, 1999 - March 9, 2001
HARRIS NESBITT CORP.
February 3, 1998 - February 25, 1998
HARRIS NESBITT CORP.
June 8, 1993 - February 3, 1998
BNP PARIBAS SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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