William S. Howard
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.
William Spencer Howard III, who also goes by William Spencer Howard, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1977. William had worked at 13 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2011 - May 29, 2013
ALLIED BEACON PARTNERS, INC.
November 5, 2009 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
March 18, 2009 - October 19, 2009
BRITEHORN SECURITIES
August 5, 2008 - August 18, 2008
THE CONCORD EQUITY GROUP, LLC
June 21, 2005 - March 4, 2009
GUNNALLEN FINANCIAL, INC
March 6, 2002 - June 20, 2005
NETWORK 1 FINANCIAL SECURITIES INC.
October 4, 1999 - March 8, 2002
WERBEL-ROTH SECURITIES, INC.
February 2, 1996 - June 21, 1999
SANDS BROTHERS & CO., LTD.
November 17, 1994 - December 4, 1995
L.C. WEGARD & CO., INC.
September 8, 1994 - November 28, 1994
WESTFIELD FINANCIAL CORPORATION
May 24, 1988 - September 15, 1994
HIBBARD BROWN & CO., INC.
February 2, 1987 - May 28, 1988
SHERWOOD CAPITAL, INC.
July 26, 1977 - January 31, 1987
FIRST JERSEY 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
Current Firm
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
