Gregory A. Horton
Professional summary
Gregory Arthur Horton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Gregory had worked at 5 firms, which includes NEXT FINANCIAL GROUP INC., RAYMOND JAMES FINANCIAL SERVICES INC., OSAIC WEALTH INC., INTEGRATED RESOURCES EQUITY CORPORATION, HOMESTEAD SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2004 - March 7, 2007
NEXT FINANCIAL GROUP, INC.
May 24, 1999 - January 29, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 19, 1989 - May 12, 1999
OSAIC WEALTH, INC.
March 6, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 26, 1985 - February 24, 1987
HOMESTEAD SECURITIES, 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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
