DH
David E. Howard
LIFEMARK SECURITIES
Moline, IL
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CRD#: 1986410
DH
Professional summary
David Edward Howard is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Moline, Illinois.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. David has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
DBA OF HOWARD FINANCIAL SERVICES USED FOR SECURITIES ALSO
1. DBA HOWARD FINANCIAL SERVICES / INVESTMENT RELATED / 402 42ND STREET MOLINE IL 61265 / INDEPENDENT INSURANCE AGENT / START 05/1993 / 140 HOURS/MONTH / 120 HOURS/MONTH DURING SECURITIES TRADING HOURS / SALES AND SERVICE OF LIFE, ACCIDENT AND HEALTH INSURANCE PRODUCTS.
2. DBA HOWARD TAX SERVICES / NOT INVESTMENT RELATED / 42ND STREET MOLINE IL 61265 / TAX PREPARATION / START 01/1996 / 40 HOURS/MONTH FEBRUARY THROUGH APRIL / 0 HOURS/MONTH DURING SECURITIES TRADING HOURS / TAX PREP FOR FAMILY AND FRIENDS, NOT ACTIVELY SEEKING NEW BUSINESS SINCE 2007.
3. MOLINE MUSIC BOOSTERS / NOT INVESTMENT RELATED / 3600 AVENUE OF THE CITIES, MOLINE IL 61265 / START 08/2012 / TREASURER / 2 HOURS/MONTH / 0 HOURS/MONTH DURING SECURITIES TRADING HOURS / PAY BILLS, CREATE BUDGETS, PROCESS DEPOSITS.
CRS (Client Relationship Summary) - RIA
Click below to view David Edward Howard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Edward Howard's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 5, 2018 - Present
LIFEMARK SECURITIES CORP.
RIA
BD
CRD#: 16204
Moline, IL
Current
November 2, 2018 - Present
LIFEMARK SECURITIES CORP.
RIA
BD
CRD#: 16204
Moline, IL
Past
April 22, 2015 - November 1, 2018
FORESTERS EQUITY SERVICES, INC.
RIA
CRD#: 18464
MOLINE, IL
Past
April 16, 2003 - November 1, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
HICKORY HILLS, IL
Past
January 2, 2002 - April 16, 2003
AUSDAL FINANCIAL PARTNERS, INC.
BD
CRD#: 7995
DAVENPORT, IA
Past
March 18, 1997 - December 31, 2001
RE-DIRECT SECURITIES CORP
BD
CRD#: 35518
VILLA PARK, IL
Past
July 16, 1993 - December 31, 1996
AMERICAN INVESTMENT SERVICES, INC.
BD
CRD#: 21111
OKLAHOMA CITY, OK
Past
November 6, 1991 - July 14, 1993
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
May 14, 1990 - August 27, 1990
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
DENVER, CO
Past
January 5, 1990 - January 29, 1990
ALLIANCE SECURITIES CORPORATION
BD
CRD#: 15468
Past
October 25, 1989 - December 31, 1989
KETTLER & COMPANY
BD
CRD#: 10530
CHICAGO, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/2/2018)
RR
Florida(11/2/2018)
RR
Illinois(11/5/2018)
IAR
Illinois(11/5/2018)
RR
Iowa(11/2/2018)
RR
Texas(12/13/2024)
RR
Washington(11/2/2018)
RR
West Virginia(5/1/2019)
RR
Wisconsin(10/27/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
