Gerald W. Howard
Professional summary
Gerald Wayne Howard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gerald is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Gerald had worked at 7 firms, which includes J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., FIFTH THIRD SECURITIES INC., CHICAGO INVESTMENT GROUP LLC, BANC ONE SECURITIES CORPORATION, EK&A, MML INVESTORS SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - November 5, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 5, 2013
J.P. MORGAN SECURITIES LLC
March 13, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 13, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 17, 2008 - February 27, 2009
FIFTH THIRD SECURITIES, INC.
November 17, 2008 - February 27, 2009
FIFTH THIRD SECURITIES, INC.
June 6, 2008 - October 31, 2008
CHICAGO INVESTMENT GROUP, LLC
June 6, 2008 - October 31, 2008
CHICAGO INVESTMENT GROUP, LLC
July 6, 2005 - June 2, 2008
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - June 2, 2008
CHASE INVESTMENT SERVICES CORP.
January 9, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
January 9, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
January 3, 2002 - September 21, 2004
EK&A
November 22, 2000 - January 22, 2003
MML INVESTORS SERVICES, LLC
September 20, 2000 - January 22, 2003
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
