Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Howard is a financial advisor with over 30 years of experience in the industry. James Howard is currently registered with Morgan Stanley & Co. LLC, and previously worked at BEAR, STEARNS & CO. INC., RBC DAIN RAUSCHER INC., DAIN RAUSCHER INCORPORATED, RAUSCHER PIERCE REFSNES, INC., HARCOURT RYDER CAPITAL, INC., STIFEL, NICOLAUS & COMPANY, INCORPORATED, FRAY MUNICIPAL SECURITIES, INC., SOUTHEASTERN CAPITAL GROUP, INC., and EPOCH CAPITAL SECURITIES CORPORATION. James Howard is licensed to sell securities in all 50 states.
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.
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.
1
2
FL
07/22/2008 - Present
Morgan Stanley & Co. LLC (Plantation FL)
FL
04/16/2002 - 07/18/2008
BEAR, STEARNS & CO. INC. (BOCA RATON FL)
NY
03/02/1998 - 03/15/2002
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
06/03/1993 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NA
07/27/1992 - 02/08/1993
HARCOURT RYDER CAPITAL, INC.
MO
03/10/1992 - 08/03/1992
STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)
IL
12/06/1991 - 03/25/1992
FRAY MUNICIPAL SECURITIES, INC. (CHICAGO IL)
FL
02/26/1991 - 10/22/1991
SOUTHEASTERN CAPITAL GROUP, INC. (MAITLAND FL)
FL
05/23/1989 - 03/07/1990
EPOCH CAPITAL SECURITIES CORPORATION (HEATHROW FL)
BC
Issued 09/16/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/16/1992
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/27/1989
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1989
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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