Jeffrey D. Howes
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.
Jeffrey Dane Howes was a registered financial advisor .
Jeffrey is a previously registered financial advisor and started their career in finance in 1974. Jeffrey had worked at 14 firms and has passed the Series 66, Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2009 - December 24, 2009
LAWSON FINANCIAL CORPORATION
January 21, 2009 - May 26, 2009
FFEC WEALTH PARTNERS LLC
November 25, 2008 - May 26, 2009
FFEC WEALTH PARTNERS LLC
April 2, 2008 - November 25, 2008
PEAK SECURITIES CORPORATION
June 14, 2007 - April 15, 2008
EXETER FINANCIAL, LLC
May 16, 2007 - April 1, 2008
THE SHEMANO GROUP, INC.
August 28, 2006 - May 18, 2007
OGILVIE SECURITY ADVISORS CORPORATION
August 28, 2006 - May 18, 2007
OGILVIE SECURITY ADVISORS CORPORATION
September 16, 2002 - September 1, 2006
CETERA ADVISORS LLC
July 24, 2002 - September 1, 2006
CETERA ADVISORS LLC
June 18, 1993 - November 12, 1993
PREMIUM FINANCIAL INVESTMENT CORPORATION
November 3, 1992 - November 12, 1992
NIF SECURITIES, INC.
June 30, 1987 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
May 27, 1987 - October 26, 1990
NIF SECURITIES, INC.
July 4, 1985 - February 3, 1987
DIEHL & COMPANY
September 14, 1984 - March 12, 1985
TITAN/VALUE EQUITIES GROUP, INC.
January 1, 1984 - January 21, 1985
GREYSTONE SECURITIES
September 10, 1974 - February 28, 1981
HORNOR, TOWNSEND & KENT, 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
Series 1
Date: 9/7/1974
Registered Representative ExaminationCurrent Firm
LAWSON FINANCIAL CORPORATION
CRD#: 15261 / SEC#: , 8-32099
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 7 |
Red Flags
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