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
JOSHUA MICHAEL HOWELL
JOSH HOWELL
CRD#: 2689484
IA
Investment Adviser
B
Broker
PROSPERA FINANCIAL SERVICES, INC.CRD#: 10740 2705 Tamiami Trail
Punta Gorda, FL 33950
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2008 (9 years)2 FIRMS2008 - 2014 (6 years)2 FIRMS2014 - 2023 (8 years)2 FIRMS2023 - Present (2 years)BT. ROWE PRICE INVESTMENT SERVI... (CRD# 8348)1996 - 1997 (1 year)
Disclosure(s)
View By:
11/3/2008
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Alabama 3/27/2023
B
Missouri 3/24/2023
B
Arizona 3/24/2023
B
Nebraska 3/24/2023
B
Arkansas 3/24/2023
B
New Hampshire 3/28/2023
B
California 3/24/2023
B
New Jersey 3/24/2023
B
Colorado 3/24/2023
B
New Mexico 3/24/2023
B
Connecticut 3/24/2023
B
New York 3/24/2023
B
Delaware 3/24/2023
B
North Carolina 3/24/2023
B
Florida 3/24/2023
B
Ohio 3/24/2023
IA
Florida 3/27/2023
B
Oregon 3/24/2023
B
Georgia 3/24/2023
B
Pennsylvania 3/24/2023
B
Illinois 3/24/2023
B
Puerto Rico 10/29/2024
B
Indiana 3/29/2023
B
South Carolina 3/24/2023
B
Iowa 3/24/2023
B
South Dakota 3/24/2023
B
Kansas 3/24/2023
B
Tennessee 3/24/2023
B
Kentucky 3/24/2023
B
Texas 3/24/2023
B
Louisiana 3/24/2023
B
Utah 5/3/2024
B
Maine 3/24/2023
B
Vermont 3/24/2023
B
Maryland 3/24/2023
B
Virginia 3/24/2023
B
Massachusetts 3/24/2023
B
Washington 3/24/2023
B
Michigan 3/24/2023
B
Wisconsin 3/24/2023
B
Minnesota 3/27/2023
B
Wyoming 3/24/2023
B
Mississippi 3/24/2023

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
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
2705 Tamiami Trail, Punta Gorda, FL 33950
Registered with this firm since 3/24/2023
B
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
2705 Tamiami Trail, Punta Gorda, FL 33950
Registered with this firm since 3/24/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/19/2014 - 03/27/2023 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) PUNTA GORDA, FL
B
 09/19/2014 - 03/27/2023 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) PUNTA GORDA, FL
IA
 01/01/2008 - 09/19/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) PUNTA GORDA, FL
B
 01/01/2008 - 09/19/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) PUNTA GORDA, FL
B
 03/16/1998 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) PORT CHARLOTTE, FL
IA
 01/29/1998 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) PORT CHARLOTTE, FL
B
 01/19/1996 - 12/16/1997 T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348) BALTIMORE, MD
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.