Howard M. Lorber
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 Mark Lorber was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1970. Howard had worked at 10 firms and has passed the Series 79TO, Series 7TO, SIE, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2010 - March 19, 2021
LADENBURG THALMANN & CO. INC.
October 10, 1995 - September 23, 2009
AEGIS CAPITAL CORP.
May 26, 1995 - July 22, 1996
LADENBURG THALMANN & CO. INC.
July 20, 1984 - February 8, 1994
AEGIS CAPITAL CORP.
February 1, 1984 - October 1, 1984
J. ROBBINS SECURITIES, INC.
December 2, 1976 - February 14, 1984
GREEN HILL FINANCIAL SERVICE CORPORATION
August 15, 1974 - June 9, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
April 18, 1974 - August 18, 1974
PHILIPS, APPEL & WALDEN, INC.
January 26, 1973 - February 28, 1974
EVANS & CO., INC.
December 29, 1972 - May 7, 1974
FERKAUF, ROGGEN, INC.
June 16, 1971 - November 7, 1973
A. C. KLUGER & CO.
September 17, 1970 - February 18, 1971
FERKAUF ROGGEN BRESSMAN CLASEN
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 2/13/1970
Registered Representative ExaminationSeries 40
Date: 2/24/1972
Registered Principal ExaminationCurrent Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
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.
