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Solomon J Howard

CRD# 4341820·Registered 2001 - 2015
Previously Registered: Being a previously registered professional could mean that Solomon 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.

Professional Summary

Solomon J Howard, who also goes by Solomon James Howard Jr, Solomon James Howard, Solomon William James Jr, Solomon William James Jr, was a registered financial advisor. Solomon was a previously registered financial professional and started their career in finance 2001 - 2015. Solomon had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Solomon James Howard Jr, Solomon James Howard, Solomon William James Jr, Solomon William James Jr

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

CAPITAL ONE ADVISORS, LLC·CRD# 136865
RIA
Seattle, WA
January 28, 2015 - August 4, 2015
CAPITAL ONE INVESTING, LLC·CRD# 45744
BD
Jersey City, NJ
January 2, 2015 - August 4, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC·CRD# 127236
RIA
Melville, NY
February 11, 2014 - January 28, 2015
CAPITAL ONE INVESTMENT SERVICES LLC·CRD# 25658
BD
Jersey City, NJ
February 6, 2014 - January 2, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
New York, NY
August 19, 2010 - February 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
June 29, 2010 - February 4, 2014
HSBC SECURITIES (USA) INC.·CRD# 19585
BD
New York, NY
January 3, 2008 - September 4, 2008
PNC WEALTH MANAGEMENT LLC·CRD# 129052
BD
Fairfield, NJ
April 27, 2007 - November 7, 2007
NATCITY INVESTMENTS, INC.·CRD# 17490
BD
Cleveland, OH
May 23, 2005 - November 18, 2005
PRUCO SECURITIES, LLC.·CRD# 5685
BD
Newark, NJ
December 13, 2001 - May 3, 2005
NEW ENGLAND SECURITIES·CRD# 615
BD
New York, NY
February 6, 2001 - October 31, 2001

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Current Firm

CO
CAPITAL ONE ADVISORS, LLC

CAPITAL ONE ADVISORS, LLC | SPARK 401K | SHAREBUILDER ADVISORS, LLC | SHAREBUILDER 401K

CRD#: 136865 / SEC#: 801-64662

Contact Information

Main Address

1750 Tysons Blvd 6th Floor, Mclean, VA 22102

Documents

Latest Form ADV

Part 2 Brochures

CAPITAL ONE INVESTING 401K SERVICES BROCHURE 4.01.19 (3/29/2019)

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 2010About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2001About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Aug 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2003About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Feb 2001About the Series 6 exam

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CRS (Client Relationship Summary)

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

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