Charles A. Howard
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.
Charles Arthur Howard, who also goes by Chuck Howard, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1994. Charles had worked at 5 firms and has passed the Series 63, Series 56, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2014 - October 9, 2015
AVATAR SECURITIES, LLC
January 5, 2009 - April 9, 2009
MERIDIAN EQUITY PARTNERS, INC.
June 25, 2008 - November 10, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
April 30, 2001 - September 6, 2001
FIRST NEW YORK SECURITIES L.L.C.
July 27, 1994 - November 3, 2000
DELTEC ASSET MANAGEMENT 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
Series 56
Date: 6/27/2014
Proprietary Trader Qualification ExaminationSeries 55
Date: 5/19/2008
Limited Representative-Equity Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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