TH
Theodore V. Howie
Some features on this profile are disabled
CRD#: 4798296
TH
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.
Theodore V Howie JR, who also goes by VIc Howie, Theodore V Howie Jr, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 2004. Theodore had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Vic Howie | Theodore V Howie Jr
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.
I*67810 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: COLLEGE OF CHARLESTON FOUNDATION INVESTMENT RELATED: Y ADDRESS OF BUSINESS: CHARLESTON, SOUTH CAROLINA 29424 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 7/1/2014 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THE MISSION OF THE COLLEGE OF CHARLESTON FOUNDATION IS TO PROMOTE PROGRAMS OF EDUCATION, RESEARCH, STUDENT DEVELOPMENT, AND FACULTY DEVELOPMENT FOR THE EXCLUSIVE BENEFIT OF THE COLLEGE OF CHARLESTON. SEE BELOW FOR MORE DETAILS I*105697 For profit or not for profit: For-Profit Organization Name of outside business organization: VKB, LLC Investment related: N Address of business: Charlotte, North Carolina 28210 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 9/15/2016 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: The LLC was created to hold two inherited properties located in SC with my siblings upon father's death.
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®
NoneExperience
Past
September 9, 2019 - May 12, 2022
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
CHARLOTTE, NC
Past
September 9, 2019 - May 12, 2022
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
CHARLOTTE, NC
Past
October 23, 2009 - September 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHARLOTTE, NC
Past
October 23, 2009 - September 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHARLOTTE, NC
Past
November 10, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
CHARLOTTE, NC
Past
November 10, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CHARLOTTE, NC
Past
July 12, 2004 - November 17, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CHARLOTTE, NC
Past
June 18, 2004 - November 17, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CHARLOTTE, NC
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".
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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
880 Carillon Parkway, St. Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St. Petersburg, FL 33716
Phone number
(727) 567-1000
Established
Florida since 02/19/1969
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
13,966
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
