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David G. Corrie

Some features on this profile are disabled
CRD#: 5227717
DC

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.

David Gordon Corrie was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2006. David had worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

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®
None

Experience

Past

October 20, 2017 - January 10, 2018

M. S. HOWELLS & CO.

BD
CRD#: 104100
Austin, TX
Past

October 13, 2017 - September 10, 2021

MAQRO ADVISORS LLC

RIA
CRD#: 289245
AUSTIN, TX
Past

November 4, 2011 - October 24, 2017

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
AUSTIN, TX
Past

November 4, 2011 - October 24, 2017

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
AUSTIN, TX
Past

February 26, 2007 - November 11, 2011

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
AUSTIN, TX
Past

December 7, 2006 - November 11, 2011

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
AUSTIN, TX

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
RR
IAR
Series 66
Date: 12/21/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/10/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/20/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/2006
General Securities Representative Examination

Current Firm

MS
M. S. HOWELLS & CO.
M. S. HOWELLS & CO.

CRD#: 104100 / SEC#: , 8-52558

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
23350 N. Pima Rd., Scottsdale, AZ 85255
Mailing Address
23350 N. Pima Rd., Scottsdale, AZ 85255
Phone number
(480) 563-2000
Established
Delaware since 04/11/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEEOWNER
SANTAMARIA, KATRINA PATRICIACHIEF EXECUTIVE OFFICER3248779
CRITES, MARCY ANNFINANCIAL AND OPERATIONS PRINCIPAL (FINOP)6346298
HOWELLS, MARK STEPHENTRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997726921
HOWELLS, MARK STEPHENEXECUTIVE CHAIRMAN/DIRECTOR726921
JORDAN, CHRISTOPHER SHANECHIEF COMPLIANCE OFFICER2843281
KREIZENBECK, TARA LYNNCHIEF OPERATING OFFICER7141895

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.

Company Information

M. S. HOWELLS & CO.

CRD#: 104100

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