Gary S. Howarth
Professional summary
Gary Stanley Howarth was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gary is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Gary had worked at 8 firms, which includes HOWARTH FINANCIAL SERVICES LLC, CONTINUITY WEALTH MANAGEMENT CORP., CAMBRIDGE INVESTMENT RESEARCH INC., MONEY CONCEPTS CAPITAL CORP, WAMU INVESTMENTS INC., OSAIC WEALTH INC., LPL FINANCIAL LLC, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2007 - February 22, 2018
HOWARTH FINANCIAL SERVICES LLC
February 18, 2003 - November 18, 2005
CONTINUITY WEALTH MANAGEMENT, CORP.
May 3, 2002 - December 31, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 3, 2002 - November 18, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 17, 2001 - May 10, 2002
MONEY CONCEPTS CAPITAL CORP
November 10, 1998 - September 12, 2001
WAMU INVESTMENTS, INC.
November 21, 1996 - August 4, 1997
OSAIC WEALTH, INC.
June 12, 1995 - September 25, 1996
LPL FINANCIAL LLC
February 14, 1994 - May 25, 1995
EDWARD JONES
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
HOWARTH FINANCIAL SERVICES LLC
CRD#: 132794 / SEC#:
Contact information
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.
