Howard D. Dear
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 Davis Dear III, who also goes by Dave Dear, H Davis Dear III, Howard D Dear, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1993. Howard had worked at 4 firms and has passed the Series 65, Series 63, SIE 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 13, 2021 - January 10, 2022
LEGACY WEALTH MANAGEMENT, LLC
June 6, 2019 - April 16, 2021
BANKPLUS WEALTH ADVISORS
July 19, 2011 - September 4, 2018
COKER & PALMER
December 20, 1996 - September 4, 2018
COKER & PALMER
November 15, 1993 - December 5, 1996
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
LEGACY WEALTH MANAGEMENT, LLC
CRD#: 304659 / SEC#: 801-117015
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
LEGACY WEALTH MANAGEMENT, LLC
CRD#: 304659 / SEC#: 801-117015
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 192 |
| AUM (Assets Under Management) | $ 421,093,989 |
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.
