Howard L. Soloway
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 Lee Soloway was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1988. Howard had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 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
September 23, 2019 - September 28, 2020
REGAL INVESTMENT ADVISORS LLC
April 21, 2016 - March 27, 2017
KESTRA ADVISORY SERVICES, LLC
September 30, 2013 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
September 30, 2013 - March 27, 2017
KESTRA INVESTMENT SERVICES, LLC
November 5, 2009 - October 2, 2013
FSC SECURITIES CORPORATION
November 2, 2009 - October 2, 2013
FSC SECURITIES CORPORATION
June 6, 2008 - November 2, 2009
CETERA WEALTH SERVICES, LLC
June 4, 2008 - November 2, 2009
CETERA WEALTH SERVICES, LLC
February 17, 2005 - June 9, 2008
PRINCIPAL SECURITIES, INC.
October 25, 2002 - June 9, 2008
PRINCIPAL SECURITIES, INC.
June 4, 1996 - October 24, 2002
1717 CAPITAL MANAGEMENT COMPANY
April 1, 1996 - June 4, 1996
KEOGLER, MORGAN & COMPANY, INC.
October 17, 1995 - April 30, 1996
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 1, 1995 - November 21, 1995
1717 CAPITAL MANAGEMENT COMPANY
August 18, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
August 18, 1988 - February 21, 1995
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
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
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
Contact information
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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