James C. Horning
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.
James Clements Horning, who also goes by Jim Horning, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 7 firms and has passed the Series 65, Series 63, 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
November 19, 2018 - October 31, 2023
SCF INVESTMENT ADVISORS, INC.
March 11, 2011 - November 19, 2018
INTEGRAL WEALTH MANAGEMENT
October 27, 2009 - April 7, 2011
LPL FINANCIAL LLC
October 26, 2009 - April 7, 2011
LPL FINANCIAL LLC
July 8, 1997 - November 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 1993 - November 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 1992 - October 28, 1992
FIDELITY BROKERAGE SERVICES LLC
August 27, 1991 - September 4, 1991
CAPITAL CONCEPTS INVESTMENT CORP.
August 17, 1990 - June 5, 1991
BMW SECURITIES CORPORATION
July 21, 1987 - August 30, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
SCF INVESTMENT ADVISORS, INC.
CRD#: 123608 / SEC#: 801-71206
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,190 |
| AUM (Assets Under Management) | $ 1,349,597,453 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 06/28/2024 |
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.
