James D. Horn
QUALITY FINANCIAL CONCEPTS
Maryville, TN 37801-4703
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CRD#: 1721412
Professional summary
James Douglas Horn, CFP®, who also goes by Doug Horn, James D Horn, is a registered financial advisor currently at QUALITY FINANCIAL CONCEPTS located in Maryville, Tennessee and LPL FINANCIAL LLC located in Maryville, Tennessee.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Horn | James D Horn
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) 05/01/2024 - QUALITY FINANCIAL CONCEPTS - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 1/1/1996 - 160 Hrs/Mo; 8 Hrs During Trading. 2) 05/01/2024 - Top of the Plaza - Inv Related - Maryville, TN - Real Estate Rental - Co-Owner - Started: 1/1/2007 - 3 Hrs/Mo; 1% of Time Spent. 3) 05/01/2024 - Broadway Interest - Inv Related - Maryville, TN - Real Estate Rental - Co-Owner - Started: 4/15/2006 - 20 Hrs/Mo; 0 Hr During Trading. 4) 05/01/2024 - QFC Services LLC - Inv Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - President - Tax Prep - Started: 3/1/1987 - 30 Hrs/Mo; 1 Hr During Trading. 5) 05/01/2024 - Topstock Vizslas - Non-Inv Related - Maryville, TN - Business Owner - Started: 6/7/2004 - 10 Hrs/Mo; 0 Hr During Trading. 6) 05/01/2024 - D&T Real Estate - Inv Related - At Reported Business Location - Real Estate Rental - Co-Owner - Started: 8/1/2021 - 2 Hrs/Mo; 1 Hr During Trading. 7) 05/01/2024 - No Business Name - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Started: 6/1/1987 - 30 Hrs/Mo; 2 Hrs During Trading. 8) 05/03/2024 - QFC Advisory LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started: 1/1/1996 - 110 Hrs/Mo; 5 Hrs During Trading - I provide investment advisory services through QFC Advisory LLC, an independent investment advisor firm. I started this business activity in 1/1/1996. I expect to spend approximately 110 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view James Douglas Horn's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2001
Experience
Current
January 7, 2011 - Present
QUALITY FINANCIAL CONCEPTS
Office #1: 115 West Broadway Avenue, Maryville, TN 37801-4703RIA
CRD#: 118886
Maryville, TN
Current
May 1, 2024 - Present
LPL FINANCIAL LLC
Office #1: 115 W Broadway Ave., Maryville, TN 37801RIA
BD
CRD#: 6413
Maryville, TN
Past
January 2, 2018 - May 1, 2024
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
Maryville, TN
Past
December 8, 2016 - December 31, 2017
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MARYVILLE, TN
Past
August 3, 2009 - December 8, 2016
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
MARYVILLE, TN
Past
January 3, 2003 - August 3, 2009
CUE FINANCIAL GROUP, INC.
BD
CRD#: 21033
MARYVILLE, TN
Past
January 3, 2002 - December 31, 2002
HIGH MARK SECURITIES, INC.
BD
CRD#: 42467
LAKELAND, FL
Past
January 2, 1992 - December 31, 2001
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SCOTTSDALE, AZ
Past
May 4, 1988 - December 31, 1991
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
August 24, 1987 - August 23, 1988
PFS INVESTMENTS INC.
BD
CRD#: 10111
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/1/2024)
RR
Arizona(5/1/2024)
RR
Arkansas(5/1/2024)
RR
California(5/1/2024)
RR
Colorado(5/1/2024)
RR
District of Columbia(5/1/2024)
RR
Florida(5/3/2024)
RR
Georgia(5/1/2024)
RR
Illinois(7/10/2024)
RR
Indiana(6/13/2024)
RR
Kansas(11/12/2024)
RR
Kentucky(5/1/2024)
RR
Maryland(5/1/2024)
RR
Michigan(5/1/2024)
RR
Mississippi(5/1/2024)
RR
Missouri(5/1/2024)
RR
New Mexico(5/1/2024)
IAR
New York(4/20/2021)
RR
New York(8/15/2024)
RR
North Carolina(5/1/2024)
RR
Ohio(5/1/2024)
RR
Oklahoma(8/14/2024)
RR
Pennsylvania(5/1/2024)
RR
South Carolina(5/1/2024)
IAR
Tennessee(1/7/2011)
RR
Tennessee(5/1/2024)
RR
Texas(5/1/2024)
RR
Utah(5/1/2024)
IAR
Virginia(8/16/2018)
RR
Virginia(5/1/2024)
RR
West Virginia(5/1/2024)
RR
Wisconsin(5/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
QF
QUALITY FINANCIAL CONCEPTS
JAMES D. HORN DBA QUALITY FINANCIAL CONCEPTS | QUALITY FINANCIAL CONCEPTS | QFC ADVISORY LLC
CRD#: 118886 / SEC#:
New York
Registered Investment Advisory firm - (4/20/2021 Approved)Tennessee
Registered Investment Advisory firm - (5/30/2003 Approved)Texas
Registered Investment Advisory firm - (3/12/2003 Approved)Virginia
Registered Investment Advisory firm - (8/17/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
115 West Broadway Avenue, Maryville, TN 37801-4703
Mailing Address
Phone number
(865) 984-3550
Established
Firm type
Fiscal year end
# of Employees
4
Regulatory assets under management
| Total Number of Accounts | 532 |
| AUM (Assets Under Management) | $ 103,554,032 |
Red Flags
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Company Information
QUALITY FINANCIAL CONCEPTS
CRD#: 118886Maryville, TN 37801-4703TRUST BUT VERIFY
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