Howard Winell
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 Winell was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1970. Howard had worked at 5 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 1990 - January 14, 2005
TICONDEROGA SECURITIES LLC
May 10, 1989 - October 30, 1989
JJC SECURITIES CO., INC.
February 7, 1977 - April 17, 1989
JESUP & LAMONT SECURITIES CO., INC.
March 6, 1972 - March 17, 1977
LOEB RHODES & CO INC
October 12, 1970 - March 18, 1972
OPPENHEIMER & CO. INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 6/9/1977
AMEX Put and Call ExamSeries 1
Date: 9/16/1966
Registered Representative ExaminationSeries 40
Date: 10/12/1970
Registered Principal ExaminationCurrent Firm
TICONDEROGA SECURITIES LLC
CRD#: 7671 / SEC#: , 8-22871
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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