Howard A. Stricker
Professional summary
Howard A Stricker is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cedarhurst, New York and CETERA FINANCIAL SPECIALISTS LLC located in Cedarhurst, New York.
Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Howard has worked at 8 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Howard A Stricker's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2011 - Present
CETERA INVESTMENT ADVISERS LLC
March 4, 2011 - Present
CETERA FINANCIAL SPECIALISTS LLC
May 29, 2009 - March 15, 2011
CHASE INVESTMENT SERVICES CORP.
February 27, 2009 - March 15, 2011
CHASE INVESTMENT SERVICES CORP.
January 3, 2007 - May 31, 2007
HEROLD & LANTERN INVESTMENTS, INC.
January 17, 2002 - January 10, 2005
CARLIN EQUITIES, LLC
March 18, 1998 - October 22, 2001
ON-SITE TRADING, INC.
May 8, 1997 - March 25, 1998
PARKER BROMLEY LTD.
September 24, 1996 - May 21, 1997
WERBEL-ROTH SECURITIES, INC.
May 21, 1996 - September 25, 1996
CARLIN EQUITIES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/28/2021)
(4/13/2016)
(3/4/2011)
(3/7/2011)
(3/4/2011)
(3/31/2021)
(7/28/2022)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/20/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
