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WH

Willard K. Howard

Some features on this profile are disabled
CRD#: 2027634
WH

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.

Willard Kent Howard, who also goes by W. Kent Howard, was a registered financial professional .

Willard is a previously registered financial professional and started their career in finance in 2000. Willard had worked at 5 firms and has passed the Series 63, Series 65 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

W. Kent Howard

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 22, 2012 - December 31, 2020

NORTHPEAK FINANCIAL, INC.

RIA
CRD#: 142970
GAITHERSBURG, MD
Past

December 4, 2009 - May 30, 2012

GROVE POINT INVESTMENTS, LLC

RIA
CRD#: 1763
GAITHERSBURG, MD
Past

December 4, 2009 - May 30, 2012

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
GAITHERSBURG, MD
Past

January 26, 2004 - December 31, 2009

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
GAITHERSBURG, MD
Past

July 23, 2003 - December 31, 2009

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
GAITHERSBURG, MD
Past

December 10, 2002 - July 24, 2003

GROVE POINT INVESTMENTS, LLC

RIA
CRD#: 1763
ROCKVILLE, MD
Past

December 10, 2002 - July 24, 2003

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
ROCKVILLE, MD
Past

February 28, 2001 - December 20, 2002

OSAIC FA, INC.

RIA
CRD#: 3978
VIENNA, VA
Past

April 14, 2000 - December 20, 2002

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

April 14, 2000 - December 20, 2002

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/27/2001
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/1/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/13/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

NF
NORTHPEAK FINANCIAL, INC.
INDEPENDENT WEALTH ADVISORS | NORTHPEAK FINANCIAL, INC. | NORTHPEAK FINANACIAL, INC. | INDEPENDENT WEALTH ADVISORS, LLC

CRD#: 142970 / SEC#:

Florida
Registered Investment Advisory firm - (7/12/2023 Approved)
Maryland
Registered Investment Advisory firm - (4/7/2021 Approved)
Virginia
Registered Investment Advisory firm - (1/4/2022 Approved)
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Contact information

Main Address
50 Carroll Creek Way Suite 220, Frederick, MD 21701
Mailing Address
Phone number
(240) 515-0113
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts270
AUM (Assets Under Management)$ 42,010,513

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.

Company Information

NORTHPEAK FINANCIAL, INC.

CRD#: 142970

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