Thomas Howell
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.
Thomas Howell III, who also goes by Thomas Howell, Tom Howell, was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 2002. Thomas had worked at 6 firms and has passed the Series 66 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
May 19, 2005 - July 10, 2006
AMFIN INVESTMENT SERVICES, INC.
November 24, 2004 - May 16, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 9, 2004 - September 7, 2004
MSI FINANCIAL SERVICES, INC.
July 22, 2004 - September 7, 2004
METROPOLITAN LIFE INSURANCE COMPANY
July 22, 2004 - September 7, 2004
MSI FINANCIAL SERVICES, INC.
April 24, 2002 - June 14, 2004
EDWARD JONES
January 10, 2002 - April 12, 2002
WRP INVESTMENTS, INC.
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
AMFIN INVESTMENT SERVICES, INC.
CRD#: 13945 / SEC#: , 8-30076
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
