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Howard C. Penn

Some features on this profile are disabled
CRD#: 811882
HP

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.

Howard Charles Penn was a registered financial professional .

Howard is a previously registered financial professional and started their career in finance in 1975. Howard had worked at 8 firms and has passed the Series 63, Series 62, Series 1, Series 26 and Series 39 exams.

top-8-questions

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

July 31, 2002 - August 30, 2005

STEVEN L. FALK & ASSOCIATES INC.

BD
CRD#: 14297
LAS VEGAS, NV
Past

December 15, 1999 - July 17, 2002

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA
Past

February 22, 1999 - December 1, 1999

STRATEGIC ASSETS INC.

BD
CRD#: 37590
MELVILLE, NY
Past

December 1, 1995 - December 8, 1998

SIGMA FINANCIAL CORPORATION

BD
CRD#: 14303
ANN ARBOR, MI
Past

September 9, 1991 - November 20, 1995

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
OVERLAND PARK, KS
Past

September 2, 1983 - August 15, 1991

CHARTERED FINANCIAL CONSULTANTS, LTD.

BD
CRD#: 13465
Past

January 11, 1978 - July 8, 1986

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
Past

September 2, 1975 - September 26, 1977

NYLIFE SECURITIES LLC

BD
CRD#: 5167

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
Series 63
Date: 4/3/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 10/14/1994
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 8/25/1975
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/22/1986
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 6/9/1983
Direct Participation Programs Principal Examination

Current Firm

SL
STEVEN L. FALK & ASSOCIATES INC.
STEVEN L. FALK & ASSOCIATES | STEVEN L. FALK & ASSOCIATES, INC. | STEVEN L. FALK & ASSOCIATES INC.

CRD#: 14297 / SEC#: , 8-29688

BD
Terminated by SEC on 07/17/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 11/04/2004
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FALK, STEVEN LAWRENCEPRESIDENT, SECRETARY, TREASURER, CHIEF COMPLIANCE OFFICER1207626
FLYNN, THOMAS FRANCISFINANCIAL AND OPERATIONS PRINCIPAL210413
MCDERMOTT, DEAN PATRICKMANAGING DIRECTOR, SENIOR REGISTERED OPTIONS PRINCIPAL, COMPLIANCE REGISTERED OPTIONS PRINCIPAL1731834

Disclosures

Regulatory Event6
Arbitration1

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

STEVEN L. FALK & ASSOCIATES INC.

CRD#: 14297

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