Thomas P. Howe
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.
Thomas Patrick Howe was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2012 - December 31, 2014
THE O.N. EQUITY SALES COMPANY
October 18, 2007 - October 28, 2011
SECURIAN FINANCIAL SERVICES, INC.
November 16, 2001 - December 31, 2006
M HOLDINGS SECURITIES, INC.
February 19, 1999 - November 20, 2001
VESTAX SECURITIES CORPORATION
September 1, 1995 - January 4, 1999
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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