Richard P. Horner
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.
Richard Paul Horner, who also goes by Rick Horner, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2015 - March 18, 2015
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
November 13, 2014 - March 18, 2015
CAPITAL INVESTMENT GROUP, INC.
November 5, 2008 - February 9, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 28, 2008 - February 9, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 24, 2005 - November 2, 2006
IRONSTONE SECURITIES, INC.
May 23, 2005 - November 2, 2006
IRONSTONE SECURITIES, INC.
August 21, 2003 - October 8, 2004
AMERIPRISE ADVISOR SERVICES, INC.
January 24, 2003 - October 8, 2004
AMERIPRISE ADVISOR SERVICES, INC.
June 15, 2002 - January 17, 2003
WELLS FARGO CLEARING SERVICES, LLC
March 23, 2001 - June 15, 2002
WACHOVIA SECURITIES, INC.
May 5, 1999 - March 26, 2001
SCOTT & STRINGFELLOW, LLC
March 21, 1997 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
May 4, 1988 - March 21, 1997
A. G. EDWARDS & SONS, INC.
January 21, 1987 - May 20, 1988
THE ROBINSON-HUMPHREY COMPANY, LLC
Primary Firm SEC Registration
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124 / SEC#: 801-69846
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
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CRD#: 149124 / SEC#: 801-69846
Contact information
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,619 |
| AUM (Assets Under Management) | $ 1,930,938,262 |
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.
