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.

The advisor shows no other business activity.

Blog Corner

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^®

Certified Financial Planner

Start date: 2001

Experience

Current

January 7, 2011 - Present

QUALITY FINANCIAL CONCEPTS

Office #1: 115 West Broadway Avenue, Maryville, TN 37801-4703

RIA

CRD#: 118886

Maryville, TN

Current

May 1, 2024 - Present

LPL FINANCIAL LLC

Office #1: 115 W Broadway Ave., Maryville, TN 37801

RIA

CRD#: 6413

Maryville, TN

Past

January 2, 2018 - May 1, 2024

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

Maryville, TN

Past

December 8, 2016 - December 31, 2017

SECURITIES AMERICA, INC.

CRD#: 10205

MARYVILLE, TN

Past

August 3, 2009 - December 8, 2016

FOOTHILL SECURITIES, INC.

CRD#: 1027

MARYVILLE, TN

Past

January 3, 2003 - August 3, 2009

CUE FINANCIAL GROUP, INC.

CRD#: 21033

MARYVILLE, TN

Past

January 3, 2002 - December 31, 2002

HIGH MARK SECURITIES, INC.

CRD#: 42467

LAKELAND, FL

Past

January 2, 1992 - December 31, 2001

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

May 4, 1988 - December 31, 1991

G. R. PHELPS & CO., INC.

CRD#: 173

Past

August 24, 1987 - August 23, 1988

PFS INVESTMENTS INC.

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.

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

Alabama
(5/1/2024)

Arizona
(5/1/2024)

Arkansas
(5/1/2024)

California
(5/1/2024)

Colorado
(5/1/2024)

District of Columbia
(5/1/2024)

Florida
(5/3/2024)

Georgia
(5/1/2024)

Illinois
(7/10/2024)

Indiana
(6/13/2024)

Kansas
(11/12/2024)

Kentucky
(5/1/2024)

Maryland
(5/1/2024)

Michigan
(5/1/2024)

Mississippi
(5/1/2024)

Missouri
(5/1/2024)

New Mexico
(5/1/2024)

IAR

New York
(4/20/2021)

New York
(8/15/2024)

North Carolina
(5/1/2024)

IAR

North Carolina
(11/26/2025)

Ohio
(5/1/2024)

Oklahoma
(8/14/2024)

Pennsylvania
(5/1/2024)

South Carolina
(5/1/2024)

IAR

Tennessee
(1/7/2011)

Tennessee
(5/1/2024)

Texas
(5/1/2024)

Utah
(5/1/2024)

IAR

Virginia
(8/16/2018)

Virginia
(5/1/2024)

West Virginia
(5/1/2024)

Wisconsin
(5/1/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/20/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/6/1992

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/3/1990

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 8/20/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/14/1993

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

North Carolina

Registered Investment Advisory firm - (11/25/2025 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)

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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	532
AUM (Assets Under Management)	$ 103,554,032

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.

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Advisor Monitoring

Firm Stability Insights

James D. Horn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Douglas Horn's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUALITY FINANCIAL CONCEPTS

LPL FINANCIAL LLC

CROWN CAPITAL SECURITIES, L.P.

SECURITIES AMERICA, INC.

FOOTHILL SECURITIES, INC.

CUE FINANCIAL GROUP, INC.

HIGH MARK SECURITIES, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

G. R. PHELPS & CO., INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/20/1987

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/6/1992

Series 22

Date: 12/3/1990

Series 6

Date: 8/20/1987

Series 24

Date: 6/14/1993

FINRA

Current Firm

QUALITY FINANCIAL CONCEPTS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

QUALITY FINANCIAL CONCEPTS

TRUST BUT VERIFY

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