Gary L. Horton
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.
Gary Lee Horton was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1983. Gary had worked at 9 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2009 - February 26, 2018
PRESERVATION CAPITAL MANAGEMENT LP
July 22, 2004 - May 15, 2009
TOLLESON PRIVATE WEALTH MANAGEMENT
December 8, 2000 - October 2, 2002
MORGAN STANLEY & CO. LLC
September 1, 2000 - October 2, 2002
MORGAN STANLEY & CO. LLC
March 2, 1998 - August 2, 2000
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
November 4, 1994 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
July 19, 1991 - November 9, 1994
PERSHING LLC
March 22, 1985 - March 24, 1990
CREDIT SUISSE SECURITIES (USA) LLC
December 21, 1983 - March 1, 1985
PRUDENTIAL EQUITY GROUP, LLC
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
PRESERVATION CAPITAL MANAGEMENT LP
CRD#: 150955 / SEC#: 801-70426
Contact information
Documents
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.
