Mark Stephen Howells
Professional Summary
Mark Stephen Howells is a registered financial advisor currently at M. S. HOWELLS & CO. located in Scottsdale, Arizona. Mark is registered as a RR (Registered Representative) and started their career in finance in 1981. Mark has worked at 9 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
45 years in the financial services industry
Current & Past Employments
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
M. S. HOWELLS & CO.
Contact Information
Main Address
23350 N. Pima Rd., Scottsdale, AZ 85255Mailing Address
23350 N. Pima Rd., Scottsdale, AZ 85255Phone Number
(480) 563-2000Established
Delaware since 04/11/2000Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEE | OWNER | — |
| SANTAMARIA, KATRINA PATRICIA | CHIEF EXECUTIVE OFFICER | 3248779 |
| CRITES, MARCY ANN | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | 6346298 |
| HOWELLS, MARK STEPHEN | EXECUTIVE CHAIRMAN/DIRECTOR | 726921 |
| HOWELLS, MARK STEPHEN | TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997 | 726921 |
| JORDAN, CHRISTOPHER SHANE | CHIEF COMPLIANCE OFFICER | 2843281 |
| KREIZENBECK, TARA LYNN | CHIEF OPERATING OFFICER | 7141895 |
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
(1/9/2007)
(9/11/2000)
(11/9/2004)
(9/8/2000)
(9/19/2000)
(9/7/2000)
(8/19/2005)
(8/26/2005)
(9/11/2000)
(9/12/2000)
(8/17/2005)
(9/7/2000)
(4/21/2005)
(6/18/2001)
(8/6/2001)
(5/11/2015)
(8/18/2005)
(4/12/2001)
(9/11/2000)
(8/25/2005)
(9/13/2000)
(8/26/2005)
(11/8/2004)
(8/21/2001)
(9/21/2000)
(1/5/2003)
(9/11/2000)
(1/5/2007)
(9/18/2000)
(8/14/2003)
(7/16/2014)
(9/12/2000)
(1/5/2007)
(4/16/2003)
(9/12/2000)
(10/9/2008)
(6/24/2008)
(9/6/2011)
(8/17/2005)
(8/8/2000)
(3/13/2001)
(8/29/2005)
(10/30/2000)
(9/6/2000)
(4/10/2003)
(11/15/2005)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000SRO Registrations
SRO Registrations
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Mark Stephen Howells's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
