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MH

Mark D. Howard

Some features on this profile are disabled
CRD#: 5359356
MH

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.

Mark Dennie Howard, who also goes by Mark Dennie Howard, Mark Howard, Mark D Howard, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 2009. Mark had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Dennie Howard | Mark Howard | Mark D Howard

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

May 2, 2019 - January 9, 2023

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Boise, ID
Past

February 27, 2018 - April 6, 2018

TD AMERITRADE, INC.

RIA
CRD#: 7870
BOISE, ID
Past

February 26, 2018 - April 6, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
OMAHA, NE
Past

February 26, 2018 - April 6, 2018

TD AMERITRADE, INC.

BD
CRD#: 7870
BOISE, ID
Past

December 21, 2016 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
SAINT LOUIS, MO
Past

December 1, 2016 - February 26, 2018

SCOTTRADE, INC.

BD
CRD#: 8206
BOISE, ID
Past

October 25, 2013 - November 23, 2016

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SALT LAKE CITY, UT
Past

April 9, 2013 - July 10, 2013

CETERA ADVISORS LLC

RIA
CRD#: 10299
BOISE, ID
Past

April 9, 2013 - July 10, 2013

CETERA ADVISORS LLC

BD
CRD#: 10299
BOISE, ID
Past

November 22, 2010 - February 21, 2012

PROSPERA FINANCIAL SERVICES, INC.

RIA
CRD#: 10740
BOISE, ID
Past

October 7, 2010 - February 21, 2012

PROSPERA FINANCIAL SERVICES, INC.

BD
CRD#: 10740
BOISE, ID
Past

April 9, 2010 - October 1, 2010

VSR FINANCIAL SERVICES, INC.

RIA
CRD#: 14503
BOISE, ID
Past

April 9, 2010 - October 1, 2010

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
BOISE, ID
Past

March 30, 2009 - April 22, 2009

WADDELL & REED

BD
CRD#: 866
BOISE, ID

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: 9/28/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/6/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/28/2009
General Securities Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# 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#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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