Howard A. Lindzon
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 Andrew Lindzon was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1992. Howard had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 4 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
July 6, 2021 - December 31, 2022
COMPOUND CAPITAL ADVISORS, LLC
January 4, 2006 - February 29, 2016
LINDZON & ASSOCIATES, LLC
May 24, 2004 - December 31, 2004
LINDZON & ASSOCIATES, LLC
July 17, 2002 - October 9, 2006
SCOTTSDALE CAPITAL ADVISORS CORP
August 17, 1999 - June 24, 2002
EMPIRE CAPITAL GROUP, LLC
May 19, 1999 - August 17, 1999
INTL CUSTODY & CLEARING SOLUTIONS INC.
May 6, 1998 - May 5, 1999
PUGLISI & CO.
December 15, 1997 - May 5, 1998
CGS FINANCIAL INC.
March 20, 1992 - July 6, 1993
PRINCIPAL FINANCIAL SECURITIES,INC.
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
COMPOUND CAPITAL ADVISORS, LLC
CRD#: 301339 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 3,367,320 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
