Cathy A. Horne
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.
Cathy Anne Horne, who also goes by Cathy Anne Johlic, Cathy Johlic, Cathy Smith, was a registered financial professional .
Cathy is a previously registered financial professional and started their career in finance in 1999. Cathy had worked at 6 firms and has passed the Series 66, Series 63, SIE, 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 28, 2016 - July 18, 2018
TRUIST ADVISORY SERVICES, INC.
August 7, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
June 19, 2015 - July 18, 2018
TRUIST INVESTMENT SERVICES, INC.
February 27, 2013 - June 12, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - June 12, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 12, 2008 - January 6, 2012
WORLD GROUP SECURITIES, INC.
May 19, 2000 - September 4, 2008
LEHMAN BROTHERS INC.
March 3, 1999 - May 3, 2000
CENTENNIAL CAPITAL MANAGEMENT, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
