Howard M. Giller
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 Michael Giller was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1993. Howard had worked at 7 firms and has passed the Series 63, 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
November 12, 2008 - January 18, 2013
CROWDER RUBICAM INC.
June 28, 2002 - November 3, 2006
COUNTRYWIDE SECURITIES CORPORATION
September 5, 2001 - July 10, 2002
DUPONT SECURITIES GROUP, INC.
November 4, 1999 - November 2, 2001
WEST SIDE CAPITAL, LLC
May 1, 1998 - September 30, 1999
IMPERIAL CAPITAL, LLC
September 21, 1995 - March 27, 1998
B. RILEY SECURITIES, INC.
February 25, 1993 - August 14, 1995
SANDLER, O'NEILL & PARTNERS, L.P.
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
CROWDER RUBICAM INC.
CRD#: 137938 / SEC#: , 8-67139
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROWDER, WILLIAM RORY | CEO, CFO AND CHIEF COMPLIANCE OFFICER | 1111010 |
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.
