Howard L. Hill
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 Leon Hill was a registered financial advisor .
Howard is a previously registered financial advisor and started their career in finance in 1969. Howard had worked at 7 firms and has passed the Series 65, Series 63, Series 5, PC, Series 1, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2009 - December 16, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 7, 2006 - October 23, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 30, 2006 - December 16, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 1, 2003 - January 6, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - January 6, 2006
WELLS FARGO CLEARING SERVICES, LLC
January 3, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 14, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
April 11, 1988 - March 29, 1989
LEHMAN BROTHERS INC.
December 12, 1969 - April 11, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 5
Date: 9/28/1981
Interest Rate Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 12/12/1969
Registered Representative ExaminationSeries 12
Date: 4/19/1979
NYSE Branch Manager ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
