Howard M. Davis
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 Mitchell Davis, who also goes by Howard M Davis, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 2004. Howard had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2018 - October 24, 2018
THE LEADERS GROUP, INC.
February 25, 2009 - August 29, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 6, 2007 - December 15, 2008
GLOBAL ATLANTIC DISTRIBUTORS, LLC
July 14, 2004 - January 22, 2007
EQUITABLE DISTRIBUTORS, LLC
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
