David W. Horan
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.
David Wayne Horan was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 20 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2016 - June 2, 2021
BANKERS LIFE ADVISORY SERVICES, INC.
September 22, 2016 - June 2, 2021
BANKERS LIFE SECURITIES, INC.
July 11, 2014 - December 17, 2014
IBN FINANCIAL SERVICES, INC.
June 25, 2014 - December 17, 2014
IBN FINANCIAL SERVICES, INC.
March 19, 2013 - March 11, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 16, 2012 - March 11, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 21, 2011 - November 28, 2012
RIDGEWAY & CONGER, INC.
July 7, 2003 - September 22, 2011
J.P. TURNER & COMPANY, L.L.C.
November 23, 1999 - July 31, 2003
WOODSTOCK FINANCIAL GROUP, INC.
May 8, 1998 - November 19, 1999
SUNPOINT SECURITIES, INC.
May 12, 1997 - April 15, 1998
BOLTON GLOBAL CAPITAL
November 9, 1995 - May 12, 1997
GLOBAL CAPITAL SECURITIES CORPORATION
March 22, 1993 - December 5, 1995
H.J. MEYERS & CO., INC.
April 1, 1991 - January 18, 1993
H.J. MEYERS & CO., INC.
November 14, 1990 - March 8, 1991
THE WINDMILL GROUP, INC.
November 6, 1990 - November 28, 1990
LEGEND MERCHANT GROUP, INC.
July 27, 1990 - November 30, 1993
VANDERBILT SECURITIES, INC.
April 5, 1989 - August 7, 1990
MLB INVESTMENTS, LTD.
December 12, 1988 - April 11, 1989
MONMOUTH INVESTMENTS, INC.
May 24, 1988 - December 19, 1988
HIBBARD BROWN & CO., INC.
February 2, 1987 - May 28, 1988
SHERWOOD CAPITAL, INC.
August 16, 1984 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
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
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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