Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy David Howard is a securities professional with over 19 years of experience in the financial services industry. Roy currently is registered with Marex Capital Markets Inc. Roy has previously worked at Cowen and Company, Cowen Prime Services LLC, Sanders Morris Harris Inc., and SMH Capital Inc. Roy holds Series 7, 55, 57TO, and SIE licenses as well as a Series 63 license. Roy is registered in eight states, including California, Colorado, Connecticut, Illinois, Louisiana, New Jersey, New York, and Texas.
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
CT
12/01/2023 - Present
Marex Capital Markets Inc. (Stamford CT)
CT
08/10/2021 - 12/13/2023
COWEN AND COMPANY (Stamford CT)
CT
11/01/2010 - 02/10/2022
COWEN PRIME SERVICES LLC (STAMFORD CT)
NY
06/16/2009 - 07/11/2011
SANDERS MORRIS HARRIS INC. (NEW YORK NY)
NY
07/02/2003 - 12/31/2007
SMH CAPITAL INC. (NEW YORK NY)
BC
Issued 02/16/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/06/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/30/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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