Douglas B. Howard

Some features on this profile are disabled

CRD#: 4489081

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.

Douglas Bronson Howard, who also goes by Doug Howard, Douglas B Howard, was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 2002. Douglas had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Doug Howard | Douglas B Howard

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

May 27, 2015 - November 24, 2020

WEALTH TEAMS ALLIANCE

RIA

CRD#: 168907

ALISO VIEJO, CA

Past

January 8, 2014 - November 12, 2014

LION STREET ADVISORS, LLC

RIA

CRD#: 167610

ALISO VIEJO, CA

Past

December 12, 2013 - November 12, 2014

LION STREET FINANCIAL, LLC

CRD#: 165828

AUSTIN, TX

Past

August 31, 2010 - January 14, 2014

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

ALISO VIEJO, CA

Past

August 25, 2010 - January 14, 2014

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

ALISO VIEJO, CA

Past

September 2, 2009 - August 20, 2010

WFP SECURITIES

RIA

CRD#: 35098

IRVINE, CA

Past

July 30, 2009 - August 20, 2010

WFP SECURITIES

CRD#: 35098

IRVINE, CA

Past

December 20, 2002 - February 23, 2004

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

January 3, 2002 - September 13, 2002

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTH TEAMS ALLIANCE

CRD#: 168907 / SEC#: 801-122977

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

California

Registered Investment Advisory firm - (1/21/2023 Terminated)

Colorado

Registered Investment Advisory firm - (11/9/2018 Terminated)

Florida

Registered Investment Advisory firm - (12/22/2022 Terminated)

Kansas

Registered Investment Advisory firm - (12/22/2022 Terminated)

Michigan

Registered Investment Advisory firm - (11/16/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (3/13/2018 Terminated)

Rhode Island

Registered Investment Advisory firm - (11/8/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/22/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/27/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/4/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/12/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/29/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/2/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WEALTH TEAMS ALLIANCE

CRD#: 168907 / SEC#: 801-122977

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

California

Registered Investment Advisory firm - (1/21/2023 Terminated)

Colorado

Registered Investment Advisory firm - (11/9/2018 Terminated)

Florida

Registered Investment Advisory firm - (12/22/2022 Terminated)

Kansas

Registered Investment Advisory firm - (12/22/2022 Terminated)

Michigan

Registered Investment Advisory firm - (11/16/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (3/13/2018 Terminated)

Rhode Island

Registered Investment Advisory firm - (11/8/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/22/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

15520 Rockfield Blvd Suite G, Irvine, CA 92618

Mailing Address

Phone number

(877) 282-4768

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTH TEAMS ALLIANCE WRAP BROCHURE (3/28/2025)

WEALTH TEAMS ALLIANCE ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	950
AUM (Assets Under Management)	$ 205,554,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Douglas B. Howard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LION STREET ADVISORS, LLC

LION STREET FINANCIAL, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

WFP SECURITIES

WFP SECURITIES

PRUCO SECURITIES, LLC.

SUNSET FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

WEALTH TEAMS ALLIANCE

State Registrations and Notice Filings

Exams

Series 66

Date: 8/27/2009

Series 63

Date: 1/4/2002

SIE

Date: 11/12/2014

Series 7

Date: 7/29/2009

Series 6

Date: 1/2/2002

Current Firm

WEALTH TEAMS ALLIANCE

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTH TEAMS ALLIANCE

TRUST BUT VERIFY

Similar Advisors