Howard Jean-denis
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 Jean-denis, who also goes by Howard Jeandenis, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 2005. Howard had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 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
May 8, 2015 - June 24, 2015
DAVID LERNER ASSOCIATES, INC.
October 10, 2013 - March 19, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 7, 2013 - March 19, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 1, 2008 - August 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 2008 - August 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 27, 2006 - October 5, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 1, 2005 - August 28, 2006
MMC SECURITIES LLC
March 14, 2005 - April 1, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
