Solomon J. 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.
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 professional .
Solomon is a previously registered financial professional and started their career in finance in 2001. Solomon had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2015 - August 4, 2015
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - August 4, 2015
CAPITAL ONE INVESTING, LLC
February 11, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
February 6, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
August 19, 2010 - February 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2010 - February 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2008 - September 4, 2008
HSBC SECURITIES (USA) INC.
April 27, 2007 - November 7, 2007
PNC WEALTH MANAGEMENT LLC
May 23, 2005 - November 18, 2005
NATCITY INVESTMENTS, INC.
December 13, 2001 - May 3, 2005
PRUCO SECURITIES, LLC.
February 6, 2001 - October 31, 2001
NEW ENGLAND SECURITIES
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
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
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.
