Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
HOWARD CHARLES GREENBERG
HOWARD C GREENBERG, HOWIE GREENBERG
CRD#: 2082838
IA
Investment Adviser
B
Previous Broker
STRATOS WEALTH ADVISORS LLCCRD#: 283816 Livingston, NJ
Registration History
20062008201020122014201620182020202220242026IASTRATOS WEALTH ADVISORS LLC (CRD# 283816)2020 - Present (4 years)BCOMMONWEALTH AUSTRALIA SECURIT... (CRD# 136321)2013 - 2020 (7 years)BBNP PARIBAS SECURITIES CORP. (CRD# 15794)2006 - 2013 (6 years)
License(s)

State Registrations

IA
Connecticut 12/18/2020
IA
New Jersey 1/27/2021
Current Registration(s)
IA
STRATOS WEALTH ADVISORS LLC (CRD#:283816)
Livingston, NJ
51 RIVERSIDE AVENUE, FIRST FLOOR, WESTPORT, CT 06880
Registered with this firm since 12/18/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/11/2013 - 10/01/2020 COMMONWEALTH AUSTRALIA SECURITIES LLC (CRD#:136321) NEW YORK, NY
B
 12/21/2006 - 07/09/2013 BNP PARIBAS SECURITIES CORP. (CRD#:15794) NEW YORK, NY
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.