Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Legate Howard is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Douglas has been in the securities industry since 1981. Douglas has registrations in Texas, Utah and several other states. Douglas also has Series 3, Series 7, Series 63, and Series 65 securities licenses. Douglas holds a Series 3 license and is a member of the National Futures Association.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
UT
11/06/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SALT LAKE CITY UT)
UT
05/13/1994 - 02/18/2015
ZIONS DIRECT, INC. (SALT LAKE CITY UT)
NY
07/20/1982 - 05/03/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
11/26/1981 - 06/29/1982
WEDBUSH, NOBLE, COOKE, INC
IA
Issued 08/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/1986
Series 3 - National Commodity Futures Examination
BC
Issued 10/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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