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Howard Arthur Stevens

CRD# 1970680·Registered 1989 - 2017
Previously Registered: Being a previously registered professional could mean that Howard 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.

Professional Summary

Howard Arthur Stevens, who also goes by Howard Stevens, was a registered financial advisor. Howard was a previously registered financial professional and started their career in finance 1989 - 2017. Howard had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Howard Stevens

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

37 years in the financial services industry

Current & Past Employments

IMPACTUS MARKETPLACE LLC·CRD# 282651
BD
Washington, DC
July 7, 2017 - November 17, 2017
MICROPLACE, INC.·CRD# 143403
BD
San Jose, CA
June 7, 2012 - March 19, 2014
TCW INVESTMENT MANAGEMENT COMPANY LLC·CRD# 106546
RIA
Los Angeles, CA
January 5, 2001 - July 8, 2002
TCW FUNDS DISTRIBUTORS LLC·CRD# 16670
BD
Los Angeles, CA
March 17, 2000 - May 21, 2002
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC·CRD# 332
BD
San Mateo, CA
September 25, 1996 - October 26, 1999
CALVERT INVESTMENT DISTRIBUTORS, INC.·CRD# 37527
BD
Bethesda, MD
June 15, 1995 - July 8, 1996
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
November 5, 1990 - August 22, 1995
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
October 25, 1989 - October 11, 1990

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Current Firm

IM
IMPACTUS MARKETPLACE LLC

IMPACTUS MARKETPLACE LLC

CRD#: 282651 / SEC#: 8-69726
BD
Terminated by SEC on 02/24/2018

Contact Information

Established

Delaware since 02/04/2015

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ENTERPRISE COMMUNITY PARTNERS, INC.MEMBER—
CITY FIRST ENTERPRISESMEMBER—
MCNEELY, MICHAEL DALEBOARD MEMBER6517462
MUCKENFUSS III, CANTWELL FAULKNERBOARD MEMBER6602653
SOBEL, RICHARD BRADLEYFINOP2587568
STANLEY, REGINALD TRENTPRESIDENT, CEO & CCO2598254

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2017About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 2001About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2012About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Dec 1990About the Series 3 exam

Series 24 — General Securities Principal Examination

Passed Jul 2012About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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