Ronald B. Saba
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.
Ronald Byron Saba, who also goes by Ron Saba, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1994. Ronald had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2011 - March 25, 2024
HORIZON INVESTMENTS LLC
February 23, 2005 - December 31, 2006
CHARLOTTE CAPITAL, LLC
November 7, 1994 - July 15, 1997
HEARTLAND ADVISORS, INC.
Primary Firm SEC Registration
HORIZON INVESTMENTS LLC
CRD#: 109552 / SEC#: 801-57316
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
HORIZON INVESTMENTS LLC
CRD#: 109552 / SEC#: 801-57316
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,481 |
| AUM (Assets Under Management) | $ 5,357,028,030 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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