Charles C. Howell
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.
Charles Clifford Howell JR, who also goes by Chuck Howell, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1979. Charles had worked at 10 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
January 5, 2016 - January 4, 2021
PEP ADVISORY LLC
October 22, 2004 - April 8, 2014
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
January 4, 1999 - October 26, 2004
SANDERS MORRIS LLC
March 5, 1996 - January 22, 1999
ML PETRIE PARKMAN CO., INC.
September 18, 1990 - January 8, 1996
RAUSCHER PIERCE REFSNES, INC.
September 4, 1990 - September 18, 1990
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
September 1, 1987 - September 1, 1988
BOETTCHER & COMPANY, INC.
January 10, 1985 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
November 23, 1979 - October 17, 1983
ROTAN MOSLE 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
PEP ADVISORY LLC
CRD#: 166636 / SEC#: , 8-69224
Contact information
FINRA licenses (25 States and Territories)
Documents
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.
