Howard C. Berkenfeld
Professional summary
Howard Craig Berkenfeld is a registered financial professional currently at UOB GLOBAL EQUITY SALES LLC located in New York, New York.
Howard is registered as a RR (Registered Representative) and started their career in finance in 1989. Howard has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Howard Craig Berkenfeld's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 26, 2003 - Present
UOB GLOBAL EQUITY SALES LLC
Office #1: 592 Fifth Avenue Suite 602, New York, NY 10036September 21, 1995 - October 8, 1998
PINEBRIDGE SECURITIES LLC
March 4, 1992 - March 14, 1994
JAMES CAPEL INCORPORATED
March 21, 1989 - February 20, 1992
SALOMON BROTHERS INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
UOB GLOBAL EQUITY SALES LLC
CRD#: 126500 / SEC#: , 8-65886
Contact information
FINRA licenses (1 States and Territories)
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.
