JH
James K. Horstman
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CRD#: 1236433
JH
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.
James Karl Horstman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
December 2, 2015 - November 10, 2017
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
WARRENVILLE, IL
Past
December 2, 2015 - November 10, 2017
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
WARRENVILLE, IL
Past
June 13, 2003 - December 23, 2015
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
CHICAGO, IL
Past
March 4, 1999 - December 23, 2015
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
CHICAGO, IL
Past
June 26, 1989 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
August 23, 1985 - June 6, 1989
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
February 23, 1984 - June 18, 1985
PFS INVESTMENTS INC.
BD
CRD#: 10111
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WOODBURY FINANCIAL SERVICES, INC.
0 | OPTIMIZE WEALTH STRATEGIES | ON TRACK FINANCIAL | OMADA FINANCIAL | OGLE WEALTH MANAGEMENT | OAK BROOK WEALTH MANAGEMENT | O'MALLEY WEALTH MANAGEMENT | NPB FINANCIAL | NORTHSTAR FINANCIAL SERVICES | NORTHPOINT FINANCIAL GROUP | NORTHEAST VALLEY FINANCIAL | NICOLAS JOHN FINANCIAL | NEXT PHASE FINANCIAL | NEW THOUGHT FINANCIAL GROUP | NCN FINANCIAL GROUP | NATIONAL WEALTH NETWORK | NATIONAL FINANCIAL ADVISORS | MY FINANCIAL TRAINER | MURPHY FINANCIAL SERVICES | MPC ADVISERS | MORGAN ADVISOR GROUP | MONTALBO FINANCIAL SERVICES | MONEY WISE PLANNING GROUP | MINKOFF CAPITAL | MINDFUL WEALTH ADVISORS | MENDHAM WEALTH MANAGEMENT | MENDAM WEALTH MANAGEMENT | MARTING FINANCIAL | MARTIN TAX & FINANCIAL SERVICES | MARTIN SHAPIRO FINANCIAL SERVICES | MARK SCHLAFER & CO. | MARATHON WEALTH & PROTECTION STRATEGIES | MACY WEALTH MANAGEMENT | LUNIN-PACK & FERRO FINANCIAL GROUP | LOVELACE AND HULLUM FINANCIAL GROUP | LOOKING GLASS FINANCIAL | LIQD INVESTMENTS | LIQD | LINDBERG FINANCIAL GROUP | LINDBERG FINANCIAL | LIFEWEALTH PRINCIPLES, LLC | LIFEWEALTH PLANNING GROUP | LENIUS FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY RETIREMENT PLAN SERVICES | LEGACY PREMIER ADVISORS | LEGACY PLANNING GROUP | LEGACY INVESTMENT SERVICES INC. | LEGACY INVESTMENT SERVICES | LAWRENCE E. EMMONS, CLU, CHFC, INVESTMENT ADVISORREPRESENTATIVE | LARSON FINANCIAL ADVISORS | KNOX FINANCIAL ADVISING | KHS WEALTH AND INSURANCE SERVICES | KELLER WEALTH | KAS INVESTMENT SERICES, INC. | K AND L PLANNING LLC | JONES INVESTMENT GROUP | INVESTMENT COMPONENT | INTEGRITY WEALTH SERVICES | INTEGRITY FIRST FINANCIAL | INCOME ADVISOR TEAM | HUTTON WEALTH MANAGEMENT | HUBER FINANCIAL GROUP | HIBBARD & RUBY WEALTH MANAGEMENT | HERSHEY INVESTMENTS | HEIKE WEALTH MANAGEMENT | HEDRICK WEALTH MANAGEMENT GROUP | HAVEN POINT WEALTH | HART FINANCIAL GROUP | HANNES FINANCIAL SERVICES | HADLEY FINANCIAL | GUIDED PATH FINANCIAL SERVICES & RETIREMENT PLANNING | GUIDANCE ADVISORS | GRIFFIN FINANCIAL LLC | GREYSTONE CAPITAL PARTNERS GROUP | GHJ FINANCIAL GROUP | GCG ADVISORY PARTNERS | GATEWAY CAPTIAL ADIVSORS | FPG PRIVATE WEALTH ADVISORS | FORTIS INVESTORS, INC. | FOCUS INVESTMENT SERVICES | FIRST MATE FINANCIAL ADVISORS | FINANCIAL PLANNING AND WEALTH MANAGEMENT | FINANCIAL PARTNERS GROUP | FINANCIAL DESIGN CENTER | FERDINANDSEN FINANCIAL GROUP | FERD GARCIA WEALTH MANAGEMENT | FELICIANO FINANCIAL GROUP | FAIRLEY WEALTH MANAGEMENT | EXPEDITION WEALTH MANAGEMENT | ETHOS WEALTH PLANNING | ETERNAL WEALTH MANAGEMENT | ERICKSON FINANCIAL ADVISORS | ENVISION RETIREMENT MANAGEMENT | ENGAGE FINANCIAL GROUP | EMPLOYER 401(K) SOLUTIONS | ELEKTRON WEALTH MANAGEMENT | DRESSLER FINANCIAL SERVICES | DOUGHTY FINANCIAL GROUP | DOTY FINANCIAL SOLUTIONS | DEMERY WEALTH ADVISORS | DECISION CAPITAL | DEAN FINANCIAL PLANNING SOLUTIONS | D&L FINANCIAL ADVISORS | CUI WEALTH MANAGEMENT | CUE FINANCIAL OF OKLAHOMA | CROSSBRIDGE WEALTH MANAGEMENT | CROSS FINANCIAL | CROMER FAMILY FINANCIAL | CREATIVE FINANCIAL GROUP | COTTON MILL ADVISORS | CORNERSTONE WEALTH MANAGEMENT | CONSULTANTS IN WEALTH MANAGEMENT | CONKIN FINANCIAL GROUP | COMPREHENSIVE WEALTH SOLUTIONS | COLLABORATIVE WEALTH STRATEGIES | CML WEALTH MANAGEMENT | CLEAR FINANCIAL NETWORK | CLEAR DIRECTION INVESTMENTS | CIRCLE CITY WEALTH ADVISORS | CHRIS RHYNE FINANCIAL MANAGEMENT | CENTERPOINT FINANCIAL SERVICES | CAPITAL HARVEST WEALTH PARTNERS | CALDERWOOD FINANCIAL STRATEGIES | BUNKER FINANCIAL SOLUTIONS | BULLISH BAER | BRUCE GEIGER WFS | BROOKSTONE WEALTH STRATEGIES | BRACKER WEALTH MANAGEMENT | BLUEBIRD WEALTH PARTNERS | BLUE PACIFIC ADVISORS | BETTINGER FINANCIAL | BERNSTEIN FINANCIAL GROUP | BARTHEN FINANCIAL & INSURANCE SERVICES | BARNAS FINANCIAL | AVENTURINE WEALTH MANAGEMENT | ATRIUM WEALTH ADVISORS | ATLAS FINANCIAL PLANNING | AMEV INVESTORS, INC. | AMERICAN FINANCIAL SERVICES | ALPINE PLANNING GROUP | ALPINE FINANCIAL PLANNING GROUP | ALPHA WEALTH ADVISORS, LLC | ALLIANCE FINANCIAL SERVICES INVESTMENT AND RETIREMENT ADVISORS | ALLIANCE FIANNCIAL SERVICES | ALLEN FINANCIAL ADVISEMENT | ADVANCED CAPITAL STRATEGIES | ADVANCE FINANCIAL SERVICES | 3RD COAST FINANCIAL...
CRD#: 421 / SEC#: 801-54905, 8-13846
BD
Terminated by SEC on 03/24/2024
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Contact information
Main Address
7755 3rd Street North, Oakdale, MN 55128
Mailing Address
P.o. Box 64284, St. Paul, MN 55164-0284
Phone number
(800) 800-2638
Established
Minnesota since 03/15/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3,002
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| COONEY, JOHN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 1326757 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FERGESEN, RICHARD DAVID | CEO, PRESIDENT, DIRECTOR | 717938 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HODGE, TIMOTHY ROBERT | CHIEF OPERATIONS OFFICER | 2220910 |
| NORTHRIP, IRYNA YAKOVLEVNA | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory assets under management
| Total Number of Accounts | 101,950 |
| AUM (Assets Under Management) | $ 19,278,448,046 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 10 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/26/2024 |
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.
