Howard A. Fields
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 Fields was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1994. Howard had worked at 6 firms and has passed the 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
September 27, 1996 - April 9, 1998
MORGAN GRANT CAPITAL CORP.
January 20, 1996 - May 29, 1996
GLOBAL EQUITIES GROUP INC
July 21, 1994 - November 7, 1994
MAIDSTONE FINANCIAL, INC.
June 30, 1994 - July 19, 1994
COMMONWEALTH ASSOCIATES
May 2, 1994 - August 27, 1994
FIRST CAMBRIDGE SECURITIES CORPORATION
March 7, 1994 - March 21, 1994
BERKELEY SECURITIES 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
MORGAN GRANT CAPITAL CORP.
CRD#: 28595 / SEC#: , 8-43853
Contact information
Documents
Red Flags
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