The GMS Group, LLC has submitted an amendment regarding its municipal advisor, John Francis Howell Jr., as part of its ongoing compliance efforts. This filing is significant as it highlights the company's commitment to regulatory adherence within the municipal advisory sector.

The GMS Group, LLC, incorporated in Delaware, operates in the municipal advisory business. The firm has been active in the industry since at least 1995, with Howell serving as a Senior Vice President and Financial Advisor. The company is located at 120 Eagle Rock Ave, Suite 300, East Hanover, NJ.

According to the recent filing dated November 3, 2026, the amendment does not indicate any changes to Howell's role but reaffirms his position within the firm. The filing states, "The GMS Group, LLC" and provides details about Howell's background and compliance status.

This update may affect clients and stakeholders associated with The GMS Group, as it underscores the firm's dedication to maintaining compliance in a highly regulated industry. Howell's long tenure with the company suggests a stable leadership presence.

Details were not available in the SEC filing regarding what actions may follow this amendment.

Background on John Francis Howell Jr.

John Francis Howell Jr. has been with The GMS Group, LLC since November 1995, serving as a Senior Vice President and Financial Advisor. His extensive experience in the municipal advisory sector is underscored by his CRD number 502534, which indicates a long-standing presence in the industry.

Regulatory Compliance and Disclosures

The filing reveals that Howell has been involved in other business activities, specifically in real estate and development loan investments since November 2011. He participates as a Limited Partner/Trustee in these ventures, which are not related to his advisory role at The GMS Group. Notably, he has stated that he receives no compensation from these activities other than loan interest income, emphasizing the separation of his advisory duties from his other business interests.

Additionally, the filing includes disclosures regarding Howell's regulatory history. While he has not been convicted or charged with any felonies or misdemeanors, he has been found in violation of regulations, which has led to certain orders against him, including a denial of license. This aspect of his regulatory history may be of interest to stakeholders evaluating the firm's compliance landscape.

Contact Information

For further inquiries, Thomas Regenye, the VP of Compliance, can be reached at 973-548-2526 or via email at tregenye@gmsgroup.com. This contact information is crucial for clients and stakeholders seeking clarification or additional information regarding the firm's compliance efforts and the implications of this amendment.