Vivian M. Vanhorn
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.
Vivian Marie Vanhorn, who also goes by Midge Vanhorn, VIvian M Vanhorn, was a registered financial professional .
Vivian is a previously registered financial professional and started their career in finance in 1990. Vivian had worked at 9 firms and has passed the Series 63, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2009 - June 19, 2012
WELLS FARGO SECURITIES, LLC
July 28, 2004 - August 4, 2010
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
February 26, 2002 - December 31, 2004
WELLS FARGO BROKERAGE SERVICES, L.L.C.
February 7, 2002 - February 15, 2002
R.W. SMITH & ASSOCIATES, LLC
July 1, 1999 - January 18, 2000
WELLS FARGO SECURITIES, LLC
December 18, 1998 - July 1, 1999
FIRST SECURITY CAPITAL MARKETS, INC.
December 8, 1997 - November 16, 1998
AGINCOURT, LTD.
October 8, 1995 - February 1, 1996
M. R. BEAL & COMPANY
November 8, 1990 - October 8, 1995
SMITH MITCHELL INVESTMENT GROUP 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
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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