Joseph H. Hornik
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.
Joseph Henry Hornik, who also goes by Joseph H Hornik, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 10 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2009 - November 11, 2011
QUESTAR CAPITAL CORPORATION
January 1, 2004 - December 31, 2006
VOYA FINANCIAL ADVISORS, INC.
June 24, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
March 15, 2001 - June 17, 2002
PRIME CAPITAL SERVICES, INC.
October 18, 2000 - March 15, 2001
METROPOLITAN LIFE INSURANCE COMPANY
October 18, 2000 - March 15, 2001
MSI FINANCIAL SERVICES, INC.
July 14, 1997 - November 8, 2000
VERAVEST INVESTMENTS, INC.
February 12, 1997 - November 25, 1997
LIFEMARK SECURITIES CORP.
May 15, 1987 - January 12, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 15, 1987 - January 12, 1996
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
