Samuel L. Howard
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.
Samuel L Howard II, who also goes by Samuel Louis Howard II, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2001. Samuel had worked at 7 firms and has passed the Series 63, SIE 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
July 10, 2014 - April 28, 2015
AVALON INVESTMENT & SECURITIES GROUP, INC.
November 15, 2011 - September 14, 2012
LPL FINANCIAL LLC
July 31, 2008 - December 31, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 23, 2006 - July 30, 2008
HBW SECURITIES LLC
April 12, 2002 - May 6, 2005
WORLD GROUP SECURITIES, INC.
September 10, 2001 - April 12, 2002
WMA SECURITIES, INC.
January 30, 2001 - June 26, 2001
D H BRUSH & ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AVALON INVESTMENT & SECURITIES GROUP, INC.
CRD#: 6281 / SEC#: , 8-17078
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
