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Samuel L. Howard

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CRD#: 4272564
SH

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

Are you a "fiduciary"?
No

Aliases

Samuel Louis Howard Ii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 10, 2014 - April 28, 2015

AVALON INVESTMENT & SECURITIES GROUP, INC.

BD
CRD#: 6281
MUSCLE SHOALS, AL
Past

November 15, 2011 - September 14, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
BETHESDA, MD
Past

July 31, 2008 - December 31, 2010

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
ROBBINS, IL
Past

February 23, 2006 - July 30, 2008

HBW SECURITIES LLC

BD
CRD#: 136959
CHICAGO, IL
Past

April 12, 2002 - May 6, 2005

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

September 10, 2001 - April 12, 2002

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

January 30, 2001 - June 26, 2001

D H BRUSH & ASSOCIATES, INC.

BD
CRD#: 3667
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/27/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/28/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/29/2001
General Securities Representative Examination

Current Firm

AI
AVALON INVESTMENT & SECURITIES GROUP, INC.
AVALON INVESTMENT & SECURITIES GROUP, INC. | DAS A. BORDEN & ASSOCIATES

CRD#: 6281 / SEC#: , 8-17078

BD
Cancelled by SEC on 06/14/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Alabama since 03/31/1972
Firm type
Corporation
Fiscal year end
March
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BORDEN, DAS ARNOLDPRESIDENT, AND 100 % OWNER26096
BORDEN, DAS ARNOLDCHIEF EXECUTIVE OFFICER26096
ANDERS, WILLIAM TROY IIICHIEF COMPLIANCE OFFICER4170321

Disclosures

Regulatory Event14

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.

Company Information

AVALON INVESTMENT & SECURITIES GROUP, INC.

CRD#: 6281

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