James J. Horvath
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 John Horvath, who also goes by Jim Horvath, Jim John Horvath, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 8 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2019 - July 28, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 1, 2019 - July 28, 2020
FIDELITY BROKERAGE SERVICES LLC
August 2, 2017 - December 26, 2017
CHARLES SCHWAB & CO., INC.
December 28, 2015 - August 4, 2016
EMPOWER FINANCIAL SERVICES, INC.
February 28, 2013 - March 13, 2015
CURIAN CAPITAL, LLC
January 7, 2004 - March 13, 2015
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
October 23, 1996 - December 31, 2003
NATIONAL PLANNING CORPORATION
December 2, 1987 - October 11, 1996
CITISTREET EQUITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
