Robert N. Horn
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.
Robert N Horn, who also goes by Robert Neils Horn, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2013 - October 19, 2015
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 12, 2012 - February 15, 2013
BARCLAYS CAPITAL INC.
June 12, 2012 - February 15, 2013
BARCLAYS CAPITAL INC.
September 11, 2007 - August 5, 2011
MORGAN STANLEY INVESTMENT ADVISORS INC.
June 27, 2005 - June 25, 2012
MORGAN STANLEY DISTRIBUTION, INC.
May 30, 2003 - June 29, 2005
DEAM INVESTOR SERVICES, INC.
October 18, 2002 - May 30, 2003
DEUTSCHE BANK SECURITIES INC.
May 14, 2002 - June 19, 2002
MORGAN STANLEY DW INC.
May 14, 2002 - June 19, 2002
MORGAN STANLEY DW INC.
January 26, 1999 - December 10, 2001
UBS FINANCIAL SERVICES INC.
April 30, 1998 - February 18, 1999
UBS CAPITAL MARKETS L.P.
April 8, 1992 - February 4, 1999
CHARLES SCHWAB & CO., INC.
April 10, 1991 - March 23, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 13, 1989 - December 21, 1990
BNY MELLON SECURITIES CORPORATION
September 2, 1988 - August 16, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 2, 1988 - August 16, 1989
PRUCO SECURITIES, LLC.
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: 10/28/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 12/3/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 18353 / SEC#: , 8-36540
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIFM HOLDCO, LLC | SOLE MEMBER | |
| HENNING, MEREDITH FARWELL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4315489 |
| LEE, H SOO | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 6834507 |
| LEIBOWITZ, KAREN | PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2693999 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| TAITE, LOUIS ANTHONY | CHIEF OPERATIONS OFFICER AND SENIOR VICE PRESIDENT | 5065572 |
Disclosures
| Regulatory Event | 6 |
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.
