Howard A. Schloss

SEACREST INVESTMENT MANAGEMENT

Purchase, NY 10577-2524

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CRD#: 2109029

Professional summary

Howard Alan Schloss is a registered financial advisor currently at SEACREST INVESTMENT MANAGEMENT, LLC located in Purchase, New York.

Howard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Howard has worked at 2 firms and has passed the Series 65, Series 63 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Alan Schloss's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 13, 2019 - Present

SEACREST INVESTMENT MANAGEMENT, LLC

Office #1: 3000 Westchester Avenue Suite 206, Purchase, NY 10577-2524

RIA

CRD#: 143670

Purchase, NY

Past

November 30, 1990 - June 13, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

SEACREST INVESTMENT MANAGEMENT, LLC

CRD#: 143670 / SEC#: 801-71148

RIA

Registered Investment Advisory firm - (3/1/2010 Approved)

California

Registered Investment Advisory firm - (3/16/2010 Terminated)

Florida

Registered Investment Advisory firm - (3/16/2010 Terminated)

New York

Registered Investment Advisory firm - (3/16/2010 Terminated)

South Dakota

Registered Investment Advisory firm - (3/16/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(5/13/2019)

IAR

New York
(7/29/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/13/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/14/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/21/1990

General Securities Representative Examination

Current Firm

SEACREST INVESTMENT MANAGEMENT, LLC

CRD#: 143670 / SEC#: 801-71148

RIA

Registered Investment Advisory firm - (3/1/2010 Approved)

California

Registered Investment Advisory firm - (3/16/2010 Terminated)

Florida

Registered Investment Advisory firm - (3/16/2010 Terminated)

New York

Registered Investment Advisory firm - (3/16/2010 Terminated)

South Dakota

Registered Investment Advisory firm - (3/16/2010 Terminated)

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Contact information

Main Address

3000 Westchester Avenue Suite 206, Purchase, NY 10577-2524

Mailing Address

Phone number

(914) 502-1905

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIM DISCLOSURE BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	74
AUM (Assets Under Management)	$ 103,590,377

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.

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Howard A. Schloss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Alan Schloss's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEACREST INVESTMENT MANAGEMENT, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SEACREST INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2019

Series 63

Date: 12/14/1990

Series 7

Date: 11/21/1990

Current Firm

SEACREST INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEACREST INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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