Christopher A. 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.
Christopher Allen Horner, who also goes by Chris Horner, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1987. Christopher had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2010 - August 22, 2023
RAYMOND JAMES & ASSOCIATES, INC.
November 11, 2010 - August 22, 2023
RAYMOND JAMES & ASSOCIATES, INC.
June 1, 2009 - July 2, 2010
MORGAN STANLEY
June 1, 2009 - July 2, 2010
MORGAN STANLEY
September 19, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 19, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 28, 2002 - August 3, 2007
RBC CAPITAL MARKETS, LLC
March 9, 2002 - August 3, 2007
RBC CAPITAL MARKETS, LLC
June 28, 2001 - March 9, 2002
SUTRO & CO. INCORPORATED
December 23, 1997 - July 2, 2001
ROTH CAPITAL PARTNERS, LLC
October 28, 1994 - December 19, 1997
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - October 17, 1994
CITIGROUP GLOBAL MARKETS INC.
November 7, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
May 21, 1987 - November 6, 1990
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 8
Date: 12/4/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
