Thomas W. Howes
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.
Thomas Warren Howes, who also goes by Thomas W Howes, Thomas Warren Howes, Howes, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 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
April 28, 2016 - April 11, 2017
IFS SECURITIES
November 21, 2011 - November 17, 2014
EAGLE STRATEGIES LLC
July 1, 2011 - May 20, 2016
NYLIFE SECURITIES LLC
June 1, 2009 - July 8, 2011
MORGAN STANLEY
June 1, 2009 - July 8, 2011
MORGAN STANLEY
February 22, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 22, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 11, 2000 - March 6, 2008
CITIGROUP GLOBAL MARKETS INC.
November 20, 2000 - March 6, 2008
CITIGROUP GLOBAL MARKETS INC.
February 11, 1993 - November 29, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
IFS SECURITIES
CRD#: 40375 / SEC#: , 8-49020
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Financial | 1 |
Red Flags
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