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Detailed Report
THOMAS FREDERICK HOWARD
RIC HOWARD, RICK HOWARD
CRD#: 1191266
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 1255 TREAT BLVD SUITE 300
WALNUT CREEK, CA 94597
Registration History
1985199019952000200520102015202020252 FIRMS1998 - 2007 (8 years)2 FIRMS2007 - 2012 (5 years)2 FIRMS2012 - Present (12 years)BPIPER JAFFRAY INC. (CRD# 665)1994 - 1998 (4 years)BSMITH BARNEY INC. (CRD# 7059)1989 - 1994 (5 years)BHAMBRECHT & QUIST INCORPORATED (CRD# 940)1987 - 1989 (1 year)BSHERWOOD CAPITAL, INC. (CRD# 10474)1987 - 1987 (<1 year)BFIRST JERSEY SECURITIES, INC. (CRD# 6621)1983 - 1987 (3 years)
License(s)

State Registrations

IA
California 9/6/2012
B
Utah 9/7/2012
B
California 9/7/2012
B
Washington 3/22/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
1255 TREAT BLVD SUITE 300, WALNUT CREEK, CA 94597
Registered with this firm since 9/6/2012
B
LPL FINANCIAL LLC (CRD#:6413)
1255 TREAT BLVD SUITE 300, WALNUT CREEK, CA 94597
Registered with this firm since 9/7/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/26/2007 - 09/10/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
B
 01/26/2007 - 09/10/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
IA
 11/17/1998 - 02/06/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN FRANCISCO, CA
B
 10/20/1998 - 02/06/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN FRANCISCO, CA
B
 09/28/1994 - 11/11/1998 PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
B
 01/11/1989 - 10/05/1994 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 12/10/1987 - 01/20/1989 HAMBRECHT & QUIST INCORPORATED (CRD#:940)
B
 02/02/1987 - 11/24/1987 SHERWOOD CAPITAL, INC. (CRD#:10474)
B
 11/25/1983 - 01/31/1987 FIRST JERSEY SECURITIES, INC. (CRD#:6621)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.