Joseph W. Horner
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.
Joseph William Horner was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1989. Joseph had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2020 - September 30, 2025
THE LEADERS GROUP, INC.
April 26, 2011 - May 11, 2018
HORNOR, TOWNSEND & KENT, LLC
May 13, 2008 - March 30, 2010
THE LEADERS GROUP, INC.
October 24, 2005 - June 15, 2006
KESTRA INVESTMENT SERVICES, LLC
May 8, 2003 - November 8, 2005
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
September 20, 2000 - December 31, 2001
AMERICAN GENERAL SECURITIES INCORPORATED
February 23, 1989 - January 20, 1999
METROPOLITAN LIFE INSURANCE COMPANY
February 23, 1989 - January 20, 1999
MSI FINANCIAL SERVICES, 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
