Tara T. Horton
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.
Tara Tomlin Horton, who also goes by Tara Ann Tomlin, was a registered financial professional .
Tara is a previously registered financial professional and started their career in finance in 1990. Tara had worked at 2 firms and has passed the Series 63, Series 55, 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
August 27, 2013 - January 23, 2015
DELTA ASSET MANAGEMENT, LLC
March 18, 2004 - April 16, 2012
MORGAN KEEGAN & COMPANY, LLC
March 20, 1990 - April 16, 2012
MORGAN KEEGAN & COMPANY, LLC
Primary Firm SEC Registration
DELTA ASSET MANAGEMENT, LLC
CRD#: 113688 / SEC#: 801-60492
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 55
Date: 4/1/1999
Limited Representative-Equity Trader ExamCurrent Firm
DELTA ASSET MANAGEMENT, LLC
CRD#: 113688 / SEC#: 801-60492
Contact information
SEC notice filing (17 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,123 |
| AUM (Assets Under Management) | $ 1,440,457,835 |
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.
