James A. 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.
James Albert Howard, who also goes by Jim Howard, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 17 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - April 19, 2021
INTERNATIONAL ASSETS ADVISORY, LLC
December 9, 2016 - April 19, 2021
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
September 19, 2016 - January 25, 2017
SOWELL MANAGEMENT
December 21, 2015 - December 31, 2016
INTERNATIONAL ASSETS ADVISORY, LLC
October 29, 2013 - November 29, 2016
CONCERT WEALTH MANAGEMENT
September 20, 2013 - December 21, 2015
DINOSAUR FINANCIAL GROUP, L.L.C
September 23, 2010 - August 21, 2013
FTB ADVISORS, INC.
June 5, 2009 - March 30, 2012
FIRST HORIZON ADVISORS, INC.
April 13, 2004 - August 21, 2013
FIRST HORIZON ADVISORS, INC.
October 22, 1999 - April 16, 2004
SUNAMERICA SECURITIES, INC.
March 20, 1995 - October 19, 1999
IDS LIFE INSURANCE COMPANY
March 20, 1995 - October 19, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
April 23, 1992 - January 1, 1993
SIGMA FINANCIAL CORPORATION
May 29, 1991 - February 7, 1992
KEOGLER, MORGAN & COMPANY, INC.
November 20, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - May 30, 1991
OSAIC WEALTH, INC.
May 15, 1986 - December 31, 1987
CONSECO FINANCIAL SERVICES, INC.
June 19, 1984 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 26, 1981 - June 28, 1984
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 24, 1980 - July 29, 1981
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
