Howard C. Corum
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 Charles Corum JR, who also goes by Howard Charles Corum, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1991. Howard had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2013 - February 8, 2016
NFSG CORPORATION
February 19, 2013 - February 8, 2016
NEWBRIDGE SECURITIES CORPORATION
February 22, 2008 - December 8, 2008
NEWBRIDGE SECURITIES CORPORATION
October 1, 2004 - March 10, 2008
CHICAGO INVESTMENT GROUP, LLC
November 20, 2002 - October 19, 2004
LADENBURG THALMANN & CO. INC.
December 2, 1999 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
June 17, 1998 - January 13, 2000
IDS LIFE INSURANCE COMPANY
June 17, 1998 - January 13, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
April 24, 1998 - August 12, 1998
CONTINENTAL BROKER-DEALER CORP.
November 11, 1991 - April 8, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 11, 1991 - April 8, 1992
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
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
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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