David E. Howe
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.
David Ernest Howe, who also goes by David E Howe, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2010 - January 5, 2016
FORUM PRIVATE CLIENT GROUP
March 3, 2005 - June 3, 2009
LPL FINANCIAL LLC
March 3, 2005 - June 3, 2009
LPL FINANCIAL LLC
May 10, 2004 - March 2, 2005
CUSO FINANCIAL SERVICES, L.P.
May 10, 2004 - March 2, 2005
CUSO FINANCIAL SERVICES, L.P.
June 10, 1999 - May 3, 2004
SII INVESTMENTS, INC.
June 22, 1998 - May 3, 2004
SII INVESTMENTS, INC.
Primary Firm SEC Registration
FORUM PRIVATE CLIENT GROUP
CRD#: 143075 / SEC#: 801-78874
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
FORUM PRIVATE CLIENT GROUP
CRD#: 143075 / SEC#: 801-78874
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,307 |
| AUM (Assets Under Management) | $ 342,423,855 |
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.
