George H. 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.
George Henry Howard III, who also goes by George Henry Howard, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1973. George had worked at 9 firms and has passed the Series 63, Series 5, Series 15, Series 1, Series 14, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2013 - August 7, 2013
CLSA AMERICAS, LLC
September 8, 1997 - July 24, 2014
CREDIT AGRICOLE SECURITIES (USA) INC.
September 11, 1989 - August 29, 1997
SBC WARBURG DILLON READ INC.
May 12, 1989 - September 12, 1989
MOORE & SCHLEY, CAMERON & CO.
April 25, 1989 - September 12, 1989
J. T. MORAN & CO., INC.
October 10, 1988 - May 2, 1989
SHAREAMERICA
May 1, 1987 - February 20, 1988
MOSELEY INTERNATIONAL INC.
July 10, 1980 - June 28, 1988
MOSELEY SECURITIES CORPORATION
August 1, 1973 - June 25, 1980
CITIGROUP GLOBAL MARKETS INC.
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: 9/25/1985
Interest Rate Options ExaminationSeries 15
Date: 6/12/1984
Foreign Currency Options ExaminationSeries 1
Date: 7/25/1973
Registered Representative ExaminationSeries 12
Date: 12/2/1976
NYSE Branch Manager ExaminationSeries 40
Date: 12/1/1976
Registered Principal ExaminationCurrent Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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