Howard H. Silverman
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 Harry Silverman was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1969. Howard had worked at 11 firms and has passed the Series 63, SIE, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2016 - June 27, 2018
KESTRA ADVISORY SERVICES, LLC
May 15, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
August 27, 1997 - June 27, 2018
KESTRA INVESTMENT SERVICES, LLC
October 21, 1992 - September 8, 1997
WOODBURY FINANCIAL SERVICES, INC.
June 16, 1992 - November 9, 1992
JOHN HANCOCK DISTRIBUTORS LLC
October 21, 1987 - May 10, 1990
MUTUAL SERVICE CORPORATION
September 4, 1981 - June 29, 1990
CMS INVESTMENT RESOURCES, LLC
April 28, 1980 - August 14, 1981
PHILADELPHIA FINANCIAL ADVISORS, INC.
October 18, 1976 - May 16, 1980
VP DISTRIBUTORS LLC
June 26, 1973 - February 9, 1976
GLICOA ASOC IC
September 13, 1971 - July 15, 1973
PIEDMONT CAPITAL CORPORATION
April 17, 1969 - December 11, 1971
ALBERT M. FREIBERG & COMPANY
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 1
Date: 4/13/1961
Registered Representative ExaminationSeries 00
Date: 4/1/1969
General Securities Principal ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
