Howard I. Mortenson
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 Irwin Mortenson III, who also goes by Howard I Mortenson III, Howard Irwin Mortenson, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1996. Howard had worked at 9 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 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
October 1, 2021 - June 17, 2024
SIGFIG WEALTH MANAGEMENT LLC
October 5, 2020 - June 24, 2021
CETERA INVESTMENT ADVISERS LLC
October 1, 2020 - June 24, 2021
CETERA INVESTMENT SERVICES LLC
June 3, 2019 - December 24, 2019
CITIZENS SECURITIES, INC.
October 2, 2018 - December 24, 2019
CITIZENS SECURITIES, INC.
May 11, 2017 - September 17, 2018
SIGFIG WEALTH MANAGEMENT LLC
February 25, 2013 - June 5, 2017
EDELMAN FINANCIAL ENGINES
November 23, 2011 - February 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2011 - February 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2010 - November 2, 2011
LPL FINANCIAL LLC
August 23, 2010 - November 2, 2011
LPL FINANCIAL LLC
April 3, 2001 - August 24, 2010
CETERA INVESTMENT SERVICES LLC
October 1, 1997 - March 30, 2001
THE HUNTINGTON INVESTMENT COMPANY
September 10, 1996 - October 1, 1997
FMB INVESTMENT SERVICES
Primary Firm SEC Registration
SIGFIG WEALTH MANAGEMENT LLC
CRD#: 158823 / SEC#: 801-72762
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 7TO
Date: 6/3/2019
General Securities Representative ExaminationCurrent Firm
SIGFIG WEALTH MANAGEMENT LLC
CRD#: 158823 / SEC#: 801-72762
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 93,977 |
| AUM (Assets Under Management) | $ 2,972,742,497 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2025 | ||
| 08/27/2024 | ||
| 10/30/2023 | ||
| 11/22/2022 |
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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