Howard A. Stevens
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 Arthur Stevens, who also goes by Howard Stevens, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1989. Howard had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3 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
July 7, 2017 - November 17, 2017
IMPACTUS MARKETPLACE LLC
June 7, 2012 - March 19, 2014
MICROPLACE, INC.
January 5, 2001 - July 8, 2002
TCW INVESTMENT MANAGEMENT COMPANY LLC
March 17, 2000 - May 21, 2002
TCW FUNDS DISTRIBUTORS LLC
September 25, 1996 - October 26, 1999
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
June 15, 1995 - July 8, 1996
CALVERT INVESTMENT DISTRIBUTORS, INC.
November 5, 1990 - August 22, 1995
MORGAN STANLEY DW INC.
October 25, 1989 - October 11, 1990
LEHMAN 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
Current Firm
IMPACTUS MARKETPLACE LLC
CRD#: 282651 / SEC#: , 8-69726
Contact information
Documents
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.
