Howard W. Gorham
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 Wesley Gorham, who also goes by Howard W Gorham, 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 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2006 - March 31, 2020
PEOPLE'S SECURITIES, INC.
October 3, 2005 - June 1, 2006
OLSON MOBECK INVESTMENT ADVISORS, INC
September 27, 1996 - September 30, 2005
GORHAM FINANCIAL SERVICES, INC.
December 16, 1993 - July 17, 1995
CITISTREET EQUITIES LLC
October 6, 1993 - December 21, 1993
HIMCO DISTRIBUTION SERVICES COMPANY
April 22, 1992 - September 2, 1993
GUARDIAN INVESTOR SERVICES LLC
March 16, 1990 - December 31, 1990
LIGHTHOUSE SECURITIES, LTD.
August 22, 1989 - February 10, 1990
DAVID LERNER ASSOCIATES, 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
PEOPLE'S SECURITIES, INC.
CRD#: 13704 / SEC#: 801-63122, 8-29667
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANUFACTURERS & TRADERS TRUST COMPANY | PARENT | |
| HUNTER, JEFFREY FRANK | PRESIDENT,PRINCIPAL OPERATIONS OFFICER,DIRECTOR | 1851035 |
| KING, MARIE | CORPORATE SECRETARY | 2970483 |
| MCAFEE, MATTHEW JAMES | CHAIRMAN OF THE BOARD AND DIRECTOR | 5456594 |
| MEDREK, EMILY SUI-LING | PRINCIPAL FINANCIAL OFFICER | 3185486 |
| MURPHY, PATRICK JOHN | DIRECTOR | 7563196 |
| RUMANS, TERRI FOGARTY | CHIEF COMPLIANCE OFFICER | 2574833 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
