Howard L. Isaacson
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 Lawrence Isaacson was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1999. Howard had worked at 5 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
May 17, 2016 - September 25, 2017
CAPITALROCK FINANCIAL, LLC
April 4, 2013 - April 22, 2015
CAPITALROCK INVESTMENTS, LLC
September 27, 2007 - March 28, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2007 - March 28, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 2003 - October 16, 2007
UBS FINANCIAL SERVICES INC.
May 30, 2003 - October 16, 2007
UBS FINANCIAL SERVICES INC.
June 25, 1999 - June 12, 2003
CITIGROUP GLOBAL MARKETS INC.
June 24, 1999 - June 12, 2003
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPITALROCK FINANCIAL, LLC
CRD#: 281234 / SEC#: 801-116852
Contact information
Red Flags
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