Howard Davner
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 Davner was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 2000. Howard had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2015 - January 21, 2016
ARIVE CAPITAL MARKETS
September 15, 2014 - April 23, 2015
LEGEND SECURITIES, INC.
November 14, 2011 - March 7, 2013
GOLDMAN SACHS & CO. LLC
November 3, 2009 - November 14, 2011
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 27, 2000 - November 14, 2011
REDI GLOBAL TECHNOLOGIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 21
Date: 2/10/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 7/7/1999
NYSE Trading Assistant ExaminationCurrent Firm
ARIVE CAPITAL MARKETS
CRD#: 8060 / SEC#: , 8-43350
Contact information
Documents
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.
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