Howard B. Levenson
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 Boyd Levenson was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1970. Howard had worked at 3 firms and has passed the SIE, Series 55 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 1976 - April 1, 2020
WESTERN FINANCIAL CORPORATION
February 25, 1975 - February 9, 1976
LPL FINANCIAL LLC
February 13, 1970 - March 20, 1975
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
Primary Firm SEC Registration
WESTERN FINANCIAL CORPORATION
CRD#: 6118 / SEC#: 801-117841, 8-18021
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 55
Date: 2/15/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 8/16/1965
Registered Representative ExaminationCurrent Firm
WESTERN FINANCIAL CORPORATION
CRD#: 6118 / SEC#: 801-117841, 8-18021
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 398 |
| AUM (Assets Under Management) | $ 309,189,116 |
Red Flags
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