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Alan Louis Caviani

M. S. Howells & Co.

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About Alan Louis Caviani

Alan Caviani is a financial professional with over 25 years of experience in the financial services industry. Alan is currently registered with M. S. Howells & Co., and is a Series 6 and 63 licensed professional. Alan has previously held positions at a number of other firms, including AXIO FINANCIAL LLC, NAVIAN CAPITAL SECURITIES LLC, THE LEADERS GROUP, INC., PROEQUITIES, INC., JACKSON NATIONAL LIFE DISTRIBUTORS, INC., and NATIONAL PLANNING CORPORATION.

Firm Information

Alan Caviani is currently registered with M. S. Howells & Co.. M. S. Howells & Co. is a Corporation that was formed on April 11, 2000. They are registered in all 50 states, the District of Columbia, and Puerto Rico, as well as with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

37

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alan Caviani’s Registration & Firm History

AZ

01/03/2022 - Present

M. S. Howells & Co. (SCOTTSDALE AZ)

NY

04/02/2020 - 09/16/2021

AXIO FINANCIAL LLC (NEW YORK NY)

OH

01/05/2018 - 03/03/2020

NAVIAN CAPITAL SECURITIES LLC (CINCINNATI OH)

CO

07/01/2014 - 12/31/2016

THE LEADERS GROUP, INC. (LITTLETON CO)

IL

08/01/2012 - 07/09/2014

PROEQUITIES, INC. (BARTLETT IL)

AL

05/11/2005 - 12/31/2010

PROEQUITIES, INC. (BIRMINGHAM AL)

TN

01/10/2002 - 06/17/2004

JACKSON NATIONAL LIFE DISTRIBUTORS, INC. (FRANKLIN TN)

CA

09/25/1992 - 12/31/2003

NATIONAL PLANNING CORPORATION (LOS ANGELES CA)

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Licenses & Designations

BC

Issued 05/01/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/23/1993

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/01/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alan Louis Caviani.
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