Frederick H. Horton
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.
Frederick Hamilton Horton was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1999. Frederick had worked at 3 firms and has passed the Series 63, Series 7TO, 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
August 27, 2019 - March 10, 2021
CASTLE PLACEMENT, LLC
October 31, 2007 - March 29, 2011
COHEN & COMPANY SECURITIES, LLC
July 29, 1999 - March 17, 2005
TCW FUNDS DISTRIBUTORS 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
Series 7TO
Date: 8/27/2019
General Securities Representative ExaminationCurrent Firm
CASTLE PLACEMENT, LLC
CRD#: 189511 / SEC#: , 8-69612
Contact information
FINRA licenses (52 States and Territories)
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.
