Ron W. Howell
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.
Ron William Howell was a registered financial advisor .
Ron is a previously registered financial advisor and started their career in finance in 1997. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2008 - January 30, 2009
PRIVATE EQUITY ADVISORS, INC.
September 4, 2007 - January 2, 2008
PRIVATE EQUITY ADVISORS, INC.
August 9, 2006 - July 10, 2010
PRIVATE EQUITY SECURITIES, INC.
August 2, 2006 - August 10, 2006
AIS FINANCIAL, INC.
October 9, 2002 - July 20, 2004
FINANCE 500, INC.
May 19, 2000 - August 23, 2002
A.G.P. / ALLIANCE GLOBAL PARTNERS
January 28, 2000 - May 19, 2000
INTERFIRST CAPITAL CORPORATION
December 17, 1997 - December 10, 1999
TRADEWAY SECURITIES GROUP, INC.
September 18, 1997 - October 21, 1997
MJK CLEARING, INC.
June 10, 1997 - June 27, 1997
OSAIC WEALTH, INC.
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 28
Date: 8/18/2007
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent firm
No current employment
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.
