Sheldon Y. Howard
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.
Sheldon Yeu Howard was a registered financial professional .
Sheldon is a previously registered financial professional and started their career in finance in 1996. Sheldon had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2010 - December 31, 2013
CADARET, GRANT & CO., INC.
May 5, 2010 - December 31, 2013
CADARET, GRANT & CO., INC.
February 17, 2005 - April 29, 2010
AFA ADVISOR SERVICES LLC
October 21, 2003 - April 29, 2010
AFA FINANCIAL GROUP, LLC
June 20, 2000 - October 3, 2003
SENTRA SECURITIES CORPORATION
September 18, 1997 - May 24, 2000
AVANTAX INVESTMENT SERVICES, INC.
November 11, 1996 - September 12, 1997
PRUCO SECURITIES, LLC.
August 16, 1996 - September 27, 1996
JOSEPH CHARLES & ASSOC., 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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
