Morton 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.
Morton Howard III, who also goes by Morton Howard, was a registered financial professional .
Morton is a previously registered financial professional and started their career in finance in 1956. Morton had worked at 6 firms and has passed the Series 63, SIE, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2011 - June 5, 2019
CRESAP, INC.
January 28, 1995 - November 21, 2011
UBS FINANCIAL SERVICES INC.
February 7, 1991 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
January 31, 1980 - January 30, 1991
UBS FINANCIAL SERVICES INC.
January 2, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 14, 1972 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
August 7, 1956 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
Primary Firm SEC Registration
CRESAP, INC.
CRD#: 25899 / SEC#: 801-79750, 8-42117
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: 7/22/1977
AMEX Put and Call ExamSeries 1
Date: 9/7/1956
Registered Representative ExaminationSeries 00
Date: 6/11/1973
General Securities Principal ExaminationCurrent Firm
CRESAP, INC.
CRD#: 25899 / SEC#: 801-79750, 8-42117
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (44 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRESAP, MARK WINFIELD III | PRESIDENT/CHIEF COMPLIANCE OFFICER | 828898 |
Regulatory assets under management
| Total Number of Accounts | 595 |
| AUM (Assets Under Management) | $ 339,016,488 |
Disclosures
| Regulatory Event | 3 |
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.
