Jerome L. Hornbogen
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.
Jerome Lee Hornbogen, who also goes by Jerry Hornbogen, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1985. Jerome had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 22, Series 6 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
March 1, 2013 - June 3, 2013
INVESTMENT CENTERS OF AMERICA, INC.
March 1, 2013 - June 3, 2013
INVESTMENT CENTERS OF AMERICA, INC.
April 23, 2007 - March 1, 2013
CETERA INVESTMENT SERVICES LLC
April 20, 2007 - March 1, 2013
CETERA INVESTMENT SERVICES LLC
April 6, 2006 - April 13, 2007
VOYA FINANCIAL ADVISORS, INC.
June 7, 2005 - December 2, 2005
LPL FINANCIAL LLC
June 6, 2005 - December 2, 2005
LPL FINANCIAL LLC
October 8, 2004 - June 23, 2005
NATCITY INVESTMENTS, INC.
June 30, 2004 - October 4, 2004
CETERA INVESTMENT SERVICES LLC
March 29, 1995 - October 4, 2004
CETERA INVESTMENT SERVICES LLC
November 7, 1994 - March 20, 1995
PROVALUE INVESTMENTS, INC.
July 29, 1991 - November 28, 1994
AMCORE INVESTMENT SERVICES, INC
July 28, 1988 - February 27, 1991
NORTHERN TRUST SECURITIES, INC.
June 28, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 28, 1985 - June 4, 1988
AMERIPRISE FINANCIAL SERVICES, 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
INVESTMENT CENTERS OF AMERICA, INC.
CRD#: 16443 / SEC#: 801-56410, 8-33983
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVEST FINANCIAL CORPORATION | DIRECT OWNER | 12984 |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP/COO | 2770565 |
| KOMOSZEWSKI, JAMES ANTHONY | PRESIDENT/CEO/DIRECTOR | 2833256 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND ICA SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
| Bond | 3 |
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.
