Howard Rackover
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 Rackover was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1976. Howard had worked at 14 firms and has passed the Series 63, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 1999 - May 26, 2000
TRADE.COM ONLINE SECURITIES, INC.
March 30, 1998 - May 1, 1998
W.J. NOLAN & COMPANY, INC.
January 4, 1997 - March 5, 1997
THE BOSTON GROUP
October 5, 1995 - October 28, 1996
ROYCE INVESTMENT GROUP, INC.
November 15, 1994 - September 20, 1995
GKN SECURITIES CORP.
March 12, 1984 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
February 29, 1984 - January 22, 1993
LEHMAN BROTHERS INC.
February 28, 1984 - January 22, 1993
LEHMAN BROTHERS INC.
October 26, 1982 - March 21, 1984
PRUDENTIAL EQUITY GROUP, LLC
May 8, 1982 - March 8, 1983
VERRILLI ALTSCHULER SCHWARTZ INC.
June 11, 1981 - April 8, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
November 7, 1979 - June 19, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 28, 1978 - September 6, 1979
CIBC WORLD MARKETS CORP.
April 18, 1977 - July 15, 1978
E. F. HUTTON & COMPANY INC
July 17, 1976 - April 29, 1977
REYNOLDS SECURITIES, 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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 8
Date: 5/31/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRADE.COM ONLINE SECURITIES, INC.
CRD#: 36189 / SEC#: , 8-47085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADE.COM GLOBAL MARKETS, INC. | SOLE SHAREHOLDER | |
| ASCHENBRENNER, ERIK DAVID | MANAGING DIRECTOR - COMPLIANCE / REGULATORY | 1595274 |
| BEHRMAN, MARK TODD | DIRECTOR, EXECUTIVE VP / CFO - FINOP | 1657208 |
| CASTAGNA, MATTHEW DOMINIC | DIRECTOR / SECRETARY | 4123051 |
| DUKES, KERRY JOSEPH | DIRECTOR, PRESIDENT | 1773976 |
| GULBIN, JOSEPH PETER JR | SROP / CROP | 2364022 |
| RUBIN, NEIL ROY | DIRECTOR, EXECUTIVE VICE PRESIDENT | 1070698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
