Howard Whitman
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.
Howard Whitman was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1972. Howard had worked at 4 firms and has passed the PC, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2001 - March 14, 2001
VECTOR SECURITIES INTERNATIONAL, INC.
December 12, 2000 - February 20, 2001
VOLPE BROWN WHELAN & COMPANY, LLC
December 12, 1989 - May 11, 2001
PRUDENTIAL EQUITY GROUP, LLC
December 8, 1972 - November 13, 1989
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 00
Date: 12/4/1972
General Securities Principal ExaminationCurrent Firm
VECTOR SECURITIES INTERNATIONAL, INC.
CRD#: 22010 / SEC#: , 8-39472
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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