Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Howard? Claim Your ProfileHoward Davis is a financial professional with over 30 years of experience in the financial services industry. Howard is currently an Executive Vice President, Compliance and Regulatory Affairs at Emerson Equity LLC. Howard has held previous positions with Lyndhurst Securities, Inc., D-MERC Services, Cabot Lodge Securities LLC, Sandlapper Securities, LLC, Financial West Group, and others. Howard is registered with FINRA as a General Securities Principal (Series 24), Investment Company Products/Variable Contracts Principal (Series 26) and Direct Participation Programs Principal (Series 39). He is also registered with the State of California as an Investment Advisor Representative (IA). In addition to the above, Howard has passed the Series 6, 7, 22, 52TO, 79TO, 99TO and SIE examinations.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Management of private placement life insurance / insurance dedicated funds (single investor private funds)
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.
A percentage of the total value of assets under management is charged.
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CA
12/03/2021 - Present
Emerson Equity LLC (SAN MATEO CA)
CA
07/29/2022 - 05/26/2023
LYNDHURST SECURITIES INC. (WOODLAND HILLS CA)
CA
09/22/2020 - 03/08/2022
D-MERC SERVICES (Woodland Hills CA)
NY
12/17/2014 - 03/02/2020
CABOT LODGE SECURITIES LLC (NEW YORK NY)
CA
08/01/2013 - 09/15/2014
SANDLAPPER SECURITIES, LLC (AGOURA HILLS CA)
CA
10/08/2007 - 07/26/2013
FINANCIAL WEST GROUP (SAN FRANCISCO CA)
CA
02/24/2010 - 09/28/2011
PROGRESSIVE ASSET MANAGEMENT, INC. (WESTLAKE VILLAGE CA)
CA
05/27/2008 - 11/18/2008
THE SHEMANO GROUP, INC. (SAN FRANCISCO CA)
CA
12/13/2007 - 11/07/2008
KLEIN INVESTMENT GROUP, L.P. (BEVERLY HILLS CA)
CA
09/10/2007 - 10/03/2007
KLEIN INVESTMENT GROUP, L.P. (BEVERLY HILLS CA)
CA
05/30/2003 - 09/14/2007
THE SHEMANO GROUP, INC. (BEVERLY HILLS CA)
FL
03/11/1998 - 07/28/2003
GUNNALLEN FINANCIAL, INC (TAMPA FL)
CA
11/15/1990 - 05/10/1999
ROCKLAND TRADING CORPORATION (ALISO VIEJO CA)
NA
01/04/1990 - 12/24/1990
WENTWORTH SECURITIES, INC.
CA
08/20/1990 - 11/24/1990
BROKERS INVESTMENT CORPORATION (CANOGA PARK CA)
NA
03/23/1988 - 01/01/1990
REMINGTON SECURITIES, INC.
NA
01/02/1988 - 03/08/1988
BRIGHTON INDUSTRIES, INC.
BC
Issued 02/15/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 11/14/1988
Series 24 - General Securities Principal Examination
BC
Issued 06/07/1988
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/19/1988
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
BC
Issued 05/12/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 12/03/1987
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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