Frederick G. Horan
Professional summary
Frederick Geller Horan JR is a registered financial professional currently at AXIOM CAPITAL MANAGEMENT, INC. located in New York, New York.
Frederick is registered as a RR (Registered Representative) and started their career in finance in 1985. Frederick has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frederick Geller Horan JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 2016 - Present
AXIOM CAPITAL MANAGEMENT, INC.
Office #1: 350 Fifth Avenue Suite 6740, New York, NY 10118February 2, 2015 - September 6, 2016
MERRIMAN CAPITAL, INC.
February 13, 2012 - January 28, 2015
DOMINICK & DICKERMAN LLC
October 12, 1995 - January 31, 2012
TICONDEROGA SECURITIES LLC
July 23, 1993 - October 9, 1995
SCHRODER & CO. INC.
July 23, 1985 - July 12, 1993
WAGNER, STOTT & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/3/2016)
(8/3/2016)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/16/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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