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Douglas Legate Howard

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Salt Lake City, UTCRD #1019738Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
41 yrs
States Registered
29 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 29 states
AlaskaArizonaCaliforniaColoradoFloridaGeorgiaHawaiiIdahoIllinoisIowaMarylandMassachusettsMississippiMissouriMontanaNebraskaNevadaNew JerseyNew MexicoNew YorkNorth CarolinaOregonPennsylvaniaTexasUtahVirginiaWashingtonWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 8/15/1994
Series 63
Uniform Securities Agent State Law Examination
Passed 6/14/1994
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 3/7/1986
Series 7
General Securities Representative Examination
Passed 10/17/1981

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
10/27/2015Salt Lake City, UT
ZIONS CAPITAL ADVISORS, INC.
1/12/20062/18/2015Salt Lake City, UT
ZIONS DIRECT, INC.
1/1/199912/31/2006Salt Lake City, UT

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Douglas Legate Howard has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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