Charles W. 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.
Charles Willis Howard, who also goes by Chuck Howard, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1996. Charles had worked at 13 firms and has passed the Series 63, SIE, Series 55, 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
March 28, 2022 - July 18, 2023
COWEN AND COMPANY
March 26, 2015 - August 21, 2019
R.W.PRESSPRICH & CO.
November 12, 2013 - March 6, 2015
SEAPORT GLOBAL SECURITIES LLC
August 27, 2012 - November 1, 2013
GLOBAL HUNTER SECURITIES, LLC
January 3, 2011 - March 28, 2012
KNIGHT CAPITAL AMERICAS, L.P.
December 6, 2010 - January 3, 2011
KNIGHT LIBERTAS LLC
February 1, 2010 - November 3, 2010
CANACCORD GENUITY SECURITIES LLC
May 7, 2008 - February 12, 2010
PALI CAPITAL, INC.
September 20, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
January 14, 2005 - May 9, 2008
RBC CAPITAL MARKETS, LLC
August 23, 2001 - January 18, 2005
RBC CAPITAL MARKETS CORPORATION
October 1, 1999 - April 5, 2001
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 1, 1996 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
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
Series 55
Date: 4/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
COWEN AND COMPANY
CRD#: 7616 / SEC#: , 8-22522
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN HOLDINGS, INC. | DIRECT PARENT | |
| CHARNEY, DANIEL S. | CO-PRESIDENT | 2158255 |
| HOLMES, JOHN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1281617 |
| JENKINS, CHRISTINE J | PRINCIPAL FINANCIAL OFFICER AND FINOP | 4911933 |
| NIZICH, MATTHEW JOHN | REGISTERED OPTIONS PRINCIPAL | 2119564 |
| SOLOMON, JEFFREY MARC | CHIEF EXECUTIVE OFFICER | 2133254 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
Disclosures
| Regulatory Event | 46 |
| Arbitration | 8 |
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.
