Patrick J. Howard
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.
Patrick John Howard, who also goes by Pat Howard, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1997. Patrick had worked at 5 firms and has passed the Series 63, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2012 - December 15, 2012
GLOBAL EMERGING CAPITAL GROUP, LLC
March 16, 2010 - July 9, 2010
EXVERE SECURITIES LLC
October 31, 2008 - November 10, 2009
SOURCE CAPITAL GROUP, INC.
January 10, 2003 - May 10, 2007
CAPITAL ACCESS, LTD.
October 23, 1997 - December 9, 2002
SEATTLE-NORTHWEST SECURITIES CORPORATION
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
GLOBAL EMERGING CAPITAL GROUP, LLC
CRD#: 130120 / SEC#: , 8-66308
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BURGESS-GAY, CLAUDETTE YVONNE | CEO, CCO, CFO, FINOP | 2547910 |
Disclosures
| Regulatory Event | 7 |
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.
