La Shaun Howard
Professional summary
La Shaun Howard, who also goes by Shaun Howard, is a registered financial advisor currently at SVB WEALTH located in San Francisco, California and FIRST CITIZENS INVESTOR SERVICES, INC. located in San Francisco, California.
La Shaun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. La Shaun has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 99TO, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view La Shaun Howard's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2024 - Present
SVB WEALTH
Office #1: 222 2nd Street 18th Floor, San Francisco, CA 94105January 12, 2024 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 222 2nd Street 18th Floor, San Francisco, CA 94105December 14, 2020 - December 31, 2023
SVB INVESTMENT SERVICES INC.
Primary Firm SEC Registration
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/12/2024)
(1/12/2024)
Exams
Series 7TO
Date: 7/16/2022
General Securities Representative ExaminationSeries 99TO
Date: 9/19/2020
Operations Professional ExaminationFINRA
Current Firm
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
Red Flags
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