Howard A. Feldman
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 Allen Feldman was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1971. Howard had worked at 8 firms and has passed the Series 63, SIE, Series 1 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
March 31, 2000 - February 10, 2017
LOOP CAPITAL MARKETS LLC
August 1, 1997 - January 28, 2000
CIBC WORLD MARKETS CORP.
October 9, 1996 - July 2, 1997
SBC WARBURG DILLON READ INC.
January 25, 1995 - September 24, 1996
KFS BD, INC.
November 26, 1985 - January 19, 1995
LAZARD FRERES & CO. LLC
April 7, 1982 - November 10, 1987
BURGESS ALLISON CAPITAL MARKETS
May 21, 1976 - May 3, 1983
O'NEILL & FELDMAN, INC.
November 17, 1971 - July 28, 1972
UMIC, 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 1
Date: 11/15/1971
Registered Representative ExaminationSeries 40
Date: 5/13/1976
Registered Principal ExaminationCurrent Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
