Alice J. Howe
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.
Alice Jean Howe, who also goes by Alice Jean Bryan, Alice Jean Judson, was a registered financial professional .
Alice is a previously registered financial professional and started their career in finance in 1988. Alice had worked at 18 firms and has passed the Series 63, SIE, Series 7, Series 22, 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
March 6, 2017 - April 9, 2019
CFD INVESTMENTS, INC.
January 19, 2017 - April 9, 2019
CREATIVE FINANCIAL DESIGNS, INC.
February 24, 2015 - November 5, 2015
WORKPLACE WEALTHBUILDERS
January 13, 2010 - December 5, 2016
BIECHELE ROYCE ADVISORS, INC.
January 6, 2010 - September 21, 2010
INTREPID FINANCIAL PLANNING GROUP, LLC
January 31, 2006 - December 31, 2009
NORTH STAR FINANCIAL CONSULTING, LLC
July 16, 2002 - July 28, 2004
OSAIC FA, INC.
July 16, 2002 - July 28, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 16, 2002 - July 28, 2004
OSAIC FA, INC.
June 5, 1998 - July 22, 2002
WATERSTONE FINANCIAL GROUP, INC.
April 17, 1997 - June 5, 1998
CETERA FINANCIAL SPECIALISTS LLC
August 9, 1996 - March 24, 1997
SII INVESTMENTS, INC.
June 1, 1996 - August 12, 1996
NATCITY INVESTMENTS, INC.
May 5, 1994 - October 31, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
May 4, 1992 - June 1, 1996
NATIONAL CITY INVESTMENTS CORPORATION
May 1, 1990 - December 20, 1993
NATCITY INVESTMENTS, INC.
March 23, 1990 - April 17, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
March 23, 1990 - April 17, 1990
MONY SECURITIES CORPORATION
August 29, 1988 - February 14, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 29, 1988 - February 14, 1990
EQUITABLE ADVISORS, LLC
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
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 1 |
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.
