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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

Curtis Lee Howard

Advisor at LPL FINANCIAL LLC

SAN DIEGO, CA | SAPULA, OK | BEMIDJI, MN | SAPULPA, OK

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Search this name across graphsid dfx:ria:ab9f9ba4-015b-8ad4-216b-1650a593d3d8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 23, 2007 to Sep 15, 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: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S63|S66
First exam: Sep 11, 1985
First registration: Jan 23, 2007
Dual registered: yes, broker-dealer
Other names: CURT HOWARD
IAPD individual key: 1390753

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
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 18, 2023	n/a	yes	BEMIDJI, MN\|SAPULA, OK\|SAN DIEGO, CA\|SAPULPA, OK	Current employment
LEVEL FOUR ADVISORY SERVICES	Bd affiliated wealth	Dec 21, 2021	Jan 9, 2023	no	DALLAS, TX	Previous registration
HARBOR FINANCIAL SERVICES, LLC	Former SEC adviser	Oct 26, 2017	Dec 21, 2021	no	MOBILE, AL\|Sapulpa, OK\|Huntington, WV\|Milton, GA\|MOBILE, AL\|Sapulpa, OK\|Sapulpa, OK	Previous registration
EDWARD JONES	National bd RIA	Jan 23, 2007	Sep 5, 2017	no	SAPULPA, OK\|MONAHANS, TX	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
LEVEL FOUR ADVISORY SERVICES	LPL FINANCIAL LLC	Jan 9, 2023	Jan 18, 2023	9	Firm change	Ibd to RIA
HARBOR FINANCIAL SERVICES, LLC	LEVEL FOUR ADVISORY SERVICES	Dec 21, 2021	Dec 21, 2021	0	Firm change	Ibd to ibd
EDWARD JONES	HARBOR FINANCIAL SERVICES, LLC	Sep 5, 2017	Oct 26, 2017	51	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 18, 2023 to presentfactForm ADV
→ LEVEL FOUR ADVISORY SERVICESRegistered adviserregistration: previous registration
Dec 21, 2021 to Jan 9, 2023factForm ADV
→ HARBOR FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 26, 2017 to Dec 21, 2021factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jan 23, 2007 to Sep 5, 2017factForm ADV

Dated events

Occurred
Jan 9, 2023
Advisor changed firm
Curtis Lee Howard left Level Four Advisory Services for Lpl Financial Llc (registered 2023-01-18)
Form ADVobserved 6 days ago