Frank J. Horsman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frank James Horsman JR, who also goes by Frank James Horsman, Hank Horsman, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1983. Frank had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 22, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2022 - February 9, 2022
TRUADVICE LLC
January 4, 2016 - November 22, 2021
CREATIVE PLANNING
March 31, 2009 - September 11, 2009
SPIRE WEALTH MANAGEMENT, LLC
March 30, 2009 - September 11, 2009
SPIRE SECURITIES, LLC
October 17, 2002 - December 31, 2003
RITTENHOUSE ASSET MANAGEMENT, INC.
October 17, 2002 - August 1, 2008
NUVEEN FUND ADVISORS, LLC
October 15, 2002 - August 1, 2008
NUVEEN SECURITIES, LLC
November 29, 1993 - September 24, 2002
CHARLES SCHWAB & CO., INC.
January 1, 1992 - September 7, 1993
NEUBERGER BERMAN MANAGEMENT LLC
May 23, 1988 - December 31, 1989
MILK ST. INVESTMENT CORP.
January 11, 1983 - January 13, 1988
PHOENIX SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TRUADVICE LLC
CRD#: 292482 / SEC#: 801-112589
Contact information
Red Flags
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