Howard H. Hampton
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 Hamilton Hampton was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1976. Howard had worked at 7 firms and has passed the Series 63, Series 5, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 1984 - April 9, 1986
CIBC WORLD MARKETS CORP.
July 26, 1984 - September 28, 1984
BECKER PARIBAS INCORPORATED
February 23, 1984 - June 11, 1984
J.P. MORGAN SECURITIES LLC
February 7, 1984 - July 20, 1984
J.P. MORGAN SECURITIES LLC
July 16, 1982 - February 16, 1984
PRUDENTIAL EQUITY GROUP, LLC
February 4, 1981 - August 12, 1982
E. F. HUTTON & COMPANY INC
June 19, 1979 - January 23, 1981
MORGAN STANLEY DW INC.
January 28, 1976 - June 9, 1979
A. G. EDWARDS & SONS, INC.
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 5
Date: 10/5/1981
Interest Rate Options ExaminationSeries 40
Date: 10/14/1978
Registered Principal ExaminationCurrent Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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