Michael R. Howe
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.
Michael Ray Howe, who also goes by Mike Howe, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2012 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
September 10, 2010 - May 1, 2024
SANTANDER US CAPITAL MARKETS LLC
April 22, 2009 - September 7, 2010
NAVIGATE ADVISORS
June 16, 1986 - April 8, 2009
NATWEST MARKETS SECURITIES INC.
August 8, 1985 - December 6, 1985
TMA GOVERNMENT SECURITIES, LTD.
April 30, 1981 - July 30, 1984
SANWA UNIVERSAL SECURITIES CO., LLC
November 27, 1978 - March 27, 1981
SALOMON BROTHERS 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
PIERPONT CAPITAL ADVISORS LLC
CRD#: 108424 / SEC#: , 8-53078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIERPONT CAPITAL ADVISORS INC | 100% 0WNER | |
| BLAUVELT, JOSEPH PATRICK | MEMBER BOARD OF MANAGERS; FINOP | 1799557 |
| CONNOR, THOMAS CHARLES | MEMBER BOARD OF MANAGERS | 1047477 |
| FENSKE, BRUCE EDWARD | C0-CHIEF COMPLIANCE OFFICER | 1469564 |
| HEBERT, VALERIE ODETTE | CO-CHIEF COMPLIANCE OFFICER | 4007252 |
| MILLET, TIMOTHY KELLEY | CEO | 2025087 |
| WERNER, MARK BLACK | CHAIRMAN MEMBER BOARD OF MANAGERS | 730268 |
Red Flags
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