Alan L. Caviani
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.
Alan Louis Caviani was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1992. Alan had worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2022 - March 27, 2025
M. S. HOWELLS & CO.
April 2, 2020 - September 16, 2021
ICAPITAL MARKETS LLC
January 5, 2018 - March 3, 2020
NAVIAN CAPITAL SECURITIES LLC
July 1, 2014 - December 31, 2016
THE LEADERS GROUP, INC.
August 1, 2012 - July 9, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 11, 2005 - December 31, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 10, 2002 - June 17, 2004
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
September 25, 1992 - December 31, 2003
NATIONAL PLANNING CORPORATION
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
M. S. HOWELLS & CO.
CRD#: 104100 / SEC#: , 8-52558
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEE | OWNER | |
| SANTAMARIA, KATRINA PATRICIA | CHIEF EXECUTIVE OFFICER | 3248779 |
| CRITES, MARCY ANN | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | 6346298 |
| HOWELLS, MARK STEPHEN | TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997 | 726921 |
| HOWELLS, MARK STEPHEN | EXECUTIVE CHAIRMAN/DIRECTOR | 726921 |
| JORDAN, CHRISTOPHER SHANE | CHIEF COMPLIANCE OFFICER | 2843281 |
| KREIZENBECK, TARA LYNN | CHIEF OPERATING OFFICER | 7141895 |
Red Flags
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