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Ron William Howell

CRD# 2895047·Registered 1997 - 2009
Previously Registered: Being a previously registered professional could mean that Ron 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.

Professional Summary

Ron William Howell was a registered financial advisor. Ron was a previously registered financial advisor and started their career in finance 1997 - 2009. Ron had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 31, Series 7, Series 6, Series 30, Series 28, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

29 years in the financial services industry

Current & Past Employments

PRIVATE EQUITY ADVISORS, INC.·CRD# 144843
RIA
Irvine, CA
April 16, 2008 - January 30, 2009
PRIVATE EQUITY ADVISORS, INC.·CRD# 144843
RIA
Irvine, CA
September 4, 2007 - January 2, 2008
PRIVATE EQUITY SECURITIES, INC.·CRD# 136817
BD
Irvine, CA
August 9, 2006 - July 10, 2010
AIS FINANCIAL, INC.·CRD# 41462
BD
Westlake Village, CA
August 2, 2006 - August 10, 2006
FINANCE 500, INC.·CRD# 12981
BD
Irvine, CA
October 9, 2002 - July 20, 2004
A.G.P. / ALLIANCE GLOBAL PARTNERS·CRD# 8361
BD
Westport, CT
May 19, 2000 - August 23, 2002
INTERFIRST CAPITAL CORPORATION·CRD# 7659
BD
Los Angeles, CA
January 28, 2000 - May 19, 2000
TRADEWAY SECURITIES GROUP, INC.·CRD# 29794
BD
Carlsbad, CA
December 17, 1997 - December 10, 1999
MJK CLEARING, INC.·CRD# 8678
BD
Minneapolis, MN
September 18, 1997 - October 21, 1997
OSAIC WEALTH, INC.·CRD# 23131
BD
Scottsdale, AZ
June 10, 1997 - June 27, 1997

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Current Firm

No current employment

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2007About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2006About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Oct 2007About the Series 3 exam

Series 31 — Futures Managed Funds Examination

Passed Oct 2007About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Sep 1997About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed May 1997About the Series 6 exam

Series 30 — NFA Branch Manager Examination

Passed Dec 2007About the Series 30 exam

Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination

Passed Aug 2007About the Series 28 exam

Series 4 — Registered Options Principal Examination

Passed Oct 1999About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Nov 1998About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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