Howard H. Hutchinson
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.
Howard Hoadley Hutchinson was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1971. Howard had worked at 5 firms and has passed the Series 63, Series 1, F04 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
July 16, 1991 - January 26, 1993
WHITEHALL-PARKER SECURITIES, INC.
August 22, 1983 - February 21, 1991
HUTCHINSON, FOX, INC.
May 5, 1977 - February 24, 1981
HUTCHINSON, FOX, INC.
September 26, 1972 - December 9, 1976
CITIGROUP GLOBAL MARKETS INC.
May 21, 1971 - February 9, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 1
Date: 5/5/1971
Registered Representative ExaminationF04
Date: 2/16/1977
Financial Principal ExaminationSeries 40
Date: 12/10/1976
Registered Principal ExaminationCurrent Firm
WHITEHALL-PARKER SECURITIES, INC.
CRD#: 10608 / SEC#: , 8-27688
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 20,000,000 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
