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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Owen Howard

Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

TAMPA, FL

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Search this name across graphsid dfx:ria:07243786-3f38-6f0e-fd5a-a540447bf4d8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Apr 28, 2022 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 27, 2022
First registration: Apr 28, 2022
Dual registered: yes, broker-dealer
Other names: Owen Howard|Owen Patrick Howard|Owen P Howard
IAPD individual key: 7068820

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jul 29, 2026	n/a	yes	TAMPA, FL	Current employment
TRUEPLAN BENEFIT AND RETIREMENT ADVISORS	Institutional manager	Aug 12, 2025	Apr 7, 2026	no	Albany, NY\|RENSSELAER, NY	Previous registration
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	Jul 12, 2024	Aug 1, 2025	no	BROOKLYN, OH\|GUILDERLAND, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 28, 2022	Jul 9, 2024	no	NEW YORK, NY\|Albany, NY\|ALBANY, NY\|ALBANY, NY\|HUNT VALLEY, MD\|ALBANY, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TRUEPLAN BENEFIT AND RETIREMENT ADVISORS	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Apr 7, 2026	Jul 29, 2026	113	Firm change	Other
KEY INVESTMENT SERVICES LLC	TRUEPLAN BENEFIT AND RETIREMENT ADVISORS	Aug 1, 2025	Aug 12, 2025	11	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	KEY INVESTMENT SERVICES LLC	Jul 9, 2024	Jul 12, 2024	3	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: current employment
Jul 29, 2026 to presentfactForm ADV
→ TRUEPLAN BENEFIT AND RETIREMENT ADVISORSRegistered adviserregistration: previous registration
Aug 12, 2025 to Apr 7, 2026factForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Jul 12, 2024 to Aug 1, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 28, 2022 to Jul 9, 2024factForm ADV

Dated events

Occurred
Apr 7, 2026
Advisor changed firm
Owen Howard left Trueplan Benefit And Retirement Advisors for Northwestern Mutual Investment Services,Llc (registered 2026-07-29)
Form ADVobserved 4 days ago
Occurred
Aug 1, 2025
Advisor changed firm
Owen Howard left Key Investment Services Llc for Trueplan Benefit And Retirement Advisors (registered 2025-08-12)
Form ADVobserved 4 days ago
Occurred
Jul 9, 2024
Advisor changed firm
Owen Howard left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Key Investment Services Llc (registered 2024-07-12)
Form ADVobserved 4 days ago