Ivan H. Howard
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.
Ivan H Howard, who also goes by IVan Huey Howard, Ivan Howard, was a registered financial professional .
Ivan is a previously registered financial professional and started their career in finance in 1995. Ivan had worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 3, SIE, Series 31, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2018 - October 28, 2019
HIRTLE, CALLAGHAN & CO., LLC
October 21, 2013 - October 19, 2015
DEMPSEY LORD SMITH, LLC
July 30, 2013 - January 19, 2016
ALPS DISTRIBUTORS, INC.
September 1, 2011 - July 9, 2013
SOUTHPORT CAPITAL
November 16, 2010 - September 7, 2011
MORGAN STANLEY
October 7, 2010 - September 7, 2011
MORGAN STANLEY
November 2, 2004 - August 22, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1995 - August 22, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
HIRTLE, CALLAGHAN & CO., LLC
CRD#: 105403 / SEC#: 801-32688
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: 2/16/2000
Limited Representative-Equity Trader ExamCurrent Firm
HIRTLE, CALLAGHAN & CO., LLC
CRD#: 105403 / SEC#: 801-32688
Contact information
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,746 |
| AUM (Assets Under Management) | $ 20,992,384,760 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 10/25/2023 | ||
| 02/27/2023 |
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.
