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Detailed Report
HOWARD DREW ARDEN III
HOWARD DREW ARDEN
CRD#: 4739759
IA
Investment Adviser
B
Broker
HILLTOP SECURITIES INC.CRD#: 6220 750 B STREET
SUITE 3100
SAN DIEGO, CA 92101
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2008 - Present (16 years)BM.L. STERN & CO., LLC. (CRD# 8327)2006 - 2008 (2 years)BBROOKSTREET SECURITIES CORPORATION (CRD# 14667)2004 - 2005 (1 year)IAM. L. STERN & CO, LLC. (CRD# 8327)2007 - 2008 (1 year)
Disclosure(s)
View By:
4/22/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 10/4/2012
IA
Nevada 4/9/2010
IA
Arizona 3/19/2013
B
New Mexico 2/22/2024
B
California 12/10/2008
B
New York 1/20/2011
IA
California 12/10/2008
IA
North Carolina 8/1/2016
B
Colorado 1/20/2015
B
North Carolina 8/3/2016
B
Delaware 1/19/2022
B
Oregon 5/4/2012
B
Florida 12/10/2008
IA
Oregon 4/13/2017
IA
Florida 2/6/2025
IA
Pennsylvania 4/10/2020
B
Hawaii 5/8/2012
B
Pennsylvania 4/1/2021
B
Idaho 5/5/2015
B
South Carolina 11/10/2020
IA
Idaho 6/23/2023
IA
South Carolina 7/21/2021
B
Michigan 6/11/2018
B
Texas 12/6/2018
IA
Michigan 6/21/2018
IA
Texas 2/4/2025
B
Nevada 12/16/2008
B
Washington 7/16/2020

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
HILLTOP SECURITIES INC. (CRD#:6220)
750 B STREET SUITE 3100, SAN DIEGO, CA 92101
Registered with this firm since 12/10/2008
B
HILLTOP SECURITIES INC. (CRD#:6220)
750 B STREET SUITE 3100, SAN DIEGO, CA 92101
Registered with this firm since 12/10/2008
Previous Registration(s)
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IA
 05/04/2007 - 12/16/2008 M. L. STERN & CO, LLC. (CRD#:8327) SAN DIEGO, CA
B
 08/30/2006 - 12/16/2008 M.L. STERN & CO., LLC. (CRD#:8327) SAN DIEGO, CA
B
 01/15/2004 - 05/02/2005 BROOKSTREET SECURITIES CORPORATION (CRD#:14667) SAN JUAN CAPISTRANO, CA
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.