Roger K. Horn
Professional summary
Roger Kenneth Horn is a registered financial professional currently at MARIVA CAPITAL MARKETS, LLC located in Miami, Florida.
Roger is registered as a RR (Registered Representative) and started their career in finance in 2011. Roger has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger Kenneth Horn's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2023 - Present
MARIVA CAPITAL MARKETS, LLC
Office #1: 150 Se 2nd Avenue Suite Ph 4, Miami, FL 33131August 15, 2017 - June 30, 2023
SMBC NIKKO SECURITIES AMERICA, INC.
October 7, 2014 - August 14, 2017
NYLIFE DISTRIBUTORS LLC
August 17, 2011 - September 11, 2012
SG AMERICAS SECURITIES, 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
(9/19/2023)
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Exams
FINRA
Current Firm
MARIVA CAPITAL MARKETS, LLC
CRD#: 156171 / SEC#: , 8-68774
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
MARIVA CAPITAL MARKETS, LLC
CRD#: 156171Miami, FL 33131TRUST BUT VERIFY
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