Shad H. Besikof
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.
Shad Harry Besikof, who also goes by Shad Harry Besikof, was a registered financial professional .
Shad is a previously registered financial professional and started their career in finance in 1996. Shad had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2019 - March 16, 2022
M. S. HOWELLS & CO.
March 5, 2013 - June 26, 2017
PERSHING ADVISOR SOLUTIONS LLC
March 5, 2012 - March 5, 2013
NEUBERGER BERMAN BD LLC
October 5, 2011 - March 5, 2013
NEUBERGER BERMAN BD LLC
November 22, 2002 - October 6, 2011
FIDELITY BROKERAGE SERVICES LLC
December 10, 1998 - October 29, 2002
CHARLES SCHWAB & CO., INC.
September 24, 1998 - October 29, 2002
CHARLES SCHWAB & CO., INC.
October 4, 1996 - February 4, 1998
UBS FINANCIAL SERVICES INC.
August 12, 1996 - September 21, 1996
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
Current Firm
M. S. HOWELLS & CO.
CRD#: 104100 / SEC#: , 8-52558
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEE | OWNER | |
| SANTAMARIA, KATRINA PATRICIA | CHIEF EXECUTIVE OFFICER | 3248779 |
| CRITES, MARCY ANN | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | 6346298 |
| HOWELLS, MARK STEPHEN | TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997 | 726921 |
| HOWELLS, MARK STEPHEN | EXECUTIVE CHAIRMAN/DIRECTOR | 726921 |
| JORDAN, CHRISTOPHER SHANE | CHIEF COMPLIANCE OFFICER | 2843281 |
| KREIZENBECK, TARA LYNN | CHIEF OPERATING OFFICER | 7141895 |
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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