Howard I. Sudnow
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 Ian Sudnow was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1994. Howard had worked at 9 firms and has passed the Series 63, SIE, Series 55 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
August 8, 2016 - February 1, 2018
SEAPORT GLOBAL SECURITIES LLC
April 20, 2015 - June 30, 2016
CRT CAPITAL GROUP LLC
January 7, 2013 - April 20, 2015
STERNE, AGEE & LEACH, INC.
January 8, 2010 - November 5, 2012
THINKEQUITY LLC
May 22, 2006 - September 11, 2008
MORGAN STANLEY & CO. LLC
November 3, 2003 - May 26, 2006
GLEACHER & COMPANY SECURITIES, INC.
October 8, 2002 - November 6, 2003
WESTROCK ADVISORS, INC.
April 12, 1999 - March 18, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 21, 1994 - November 25, 1998
J.P. MORGAN SECURITIES LLC
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 55
Date: 11/22/1999
Limited Representative-Equity Trader ExamCurrent Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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