Charles E. Howley
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 Edward Howley was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1965. Charles had worked at 7 firms and has passed the Series 63, Series 7, Series 55, Series 1, Series 24, 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
August 28, 2002 - October 16, 2002
BROADPOINT AMTECH, INC.
September 16, 1988 - March 3, 2000
SOUNDVIEW TECHNOLOGY CORPORATION
October 20, 1986 - August 22, 1988
E. H. SMITH JACOBS & CO., INC.
June 14, 1985 - October 22, 1986
FINANCIAL SQUARE PARTNERS
April 26, 1984 - May 13, 1985
HAMBRECHT & QUIST LLC
January 6, 1982 - March 30, 1984
THE DRESNER COMPANY
June 4, 1965 - August 31, 1980
CIBC WORLD MARKETS CORP.
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 55
Date: 5/14/1998
Limited Representative-Equity Trader ExamSeries 1
Date: 3/31/1958
Registered Representative ExaminationSeries 40
Date: 6/28/1973
Registered Principal ExaminationCurrent Firm
BROADPOINT AMTECH, INC.
CRD#: 121456 / SEC#: , 8-65413
Contact information
Documents
Red Flags
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