Lewis N. 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.
Lewis Nathan Howard, who also goes by Louis Nathan Howard, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1970. Lewis had worked at 7 firms and has passed the Series 63, PC, Series 5, Series 1, Series 4 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
March 1, 1996 - March 13, 2000
RIDGEWOOD ASSOCIATES INC. NJ
October 1, 1985 - February 9, 1996
GRUNTAL & CO., L.L.C.
June 26, 1981 - October 1, 1985
JII SECURITIES INC.
January 8, 1976 - July 12, 1981
BISHOP, ROSEN & CO., INC.
March 4, 1974 - February 15, 1976
JII SECURITIES INC.
April 25, 1972 - February 28, 1974
WALLACH SECURITIES CO INC
February 4, 1972 - March 22, 1974
WALLACH & CO.
December 15, 1970 - March 2, 1972
TP ICAP GLOBAL MARKETS AMERICAS LLC
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
PC
Date: 9/25/1981
AMEX Put and Call ExamSeries 5
Date: 9/25/1981
Interest Rate Options ExaminationSeries 1
Date: 3/26/1956
Registered Representative ExaminationSeries 40
Date: 4/12/1973
Registered Principal ExaminationCurrent Firm
RIDGEWOOD ASSOCIATES INC. NJ
CRD#: 16727 / SEC#: , 8-34109
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ESTATE OF PHILIP P MARINO | ESTATE OF PHILIP P MARINO | |
| ACIERNO, PAMELA ANN | CCO FINOP INTERIM PRESIDENT CEO | 705 |
| MARINO, REGINA | EXECUTRIX, ESTATE OF PHILIP P MARINO |
Disclosures
| Regulatory Event | 1 |
Red Flags
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