Brennan N. Howard
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.
Brennan Newton John Howard was a registered financial professional .
Brennan is a previously registered financial professional and started their career in finance in 2007. Brennan had worked at 5 firms and has passed the Series 63, SIE, Series 55 and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2014 - January 25, 2016
GRIFFITHS MCBURNEY CORP.
July 10, 2010 - August 29, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 27, 2009 - July 19, 2010
THOMAS WEISEL PARTNERS LLC
May 29, 2007 - February 10, 2009
RAYMOND JAMES (USA) LTD.
January 5, 2007 - May 3, 2007
JENNINGS CAPITAL (USA) INC.
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
Series 55
Date: 6/28/2008
Limited Representative-Equity Trader ExamSeries 37
Date: 9/19/2006
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
GRIFFITHS MCBURNEY CORP.
CRD#: 40620 / SEC#: , 8-49139
Contact information
Documents
Direct owners and executive officers
Red Flags
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