Brian Y. Horne
Professional summary
Brian Young Horne was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Brian had worked at 9 firms, which includes PAULSON INVESTMENT COMPANY LLC, INVESTMENT MANAGEMENT CORPORATION, MOMENTUM INDEPENDENT NETWORK INC., VOYA FINANCIAL ADVISORS INC., CUNA BROKERAGE SERVICES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., FIDELITY BROKERAGE SERVICES LLC, PRINCIPAL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2007 - November 29, 2007
PAULSON INVESTMENT COMPANY LLC
January 1, 2000 - December 31, 2007
INVESTMENT MANAGEMENT CORPORATION
December 10, 1999 - December 31, 2007
INVESTMENT MANAGEMENT CORPORATION
February 16, 1995 - December 1, 1999
MOMENTUM INDEPENDENT NETWORK INC.
December 15, 1994 - February 17, 1995
VOYA FINANCIAL ADVISORS, INC.
February 16, 1994 - November 8, 1994
MOMENTUM INDEPENDENT NETWORK INC.
May 18, 1993 - January 20, 1994
CUNA BROKERAGE SERVICES, INC.
November 25, 1992 - June 21, 1993
METROPOLITAN LIFE INSURANCE COMPANY
November 25, 1992 - June 21, 1993
MSI FINANCIAL SERVICES, INC.
April 4, 1989 - August 14, 1992
FIDELITY BROKERAGE SERVICES LLC
May 12, 1988 - April 28, 1989
PRINCIPAL SECURITIES, INC.
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
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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