James K. Horton

JAMES HORTON

REHOBOTH, MA

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CRD#: 2050151

Professional summary

James Kenneth Horton is a registered financial advisor currently at JAMES HORTON, LLC located in Rehoboth, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. James has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Kenneth Horton's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 27, 2000 - Present

JAMES HORTON, LLC

RIA

CRD#: 129114

REHOBOTH, MA

Past

July 17, 1995 - October 25, 2000

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

June 21, 1995 - July 13, 1995

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Past

August 6, 1990 - June 29, 1995

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(8/27/2000)

IAR

Rhode Island
(1/1/2003)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/17/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/3/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JAMES HORTON, LLC

CRD#: 129114 / SEC#:

Massachusetts

Registered Investment Advisory firm - (8/27/2000 Approved)

Rhode Island

Registered Investment Advisory firm - (9/13/2000 Approved)

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Contact information

Main Address

Rehoboth, MA

Mailing Address

Phone number

(508) 252-6515

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	150
AUM (Assets Under Management)	$ 41,241,097

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James K. Horton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Kenneth Horton's CRS (Customer Relationship Summary).

Certified licenses

Experience

JAMES HORTON, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

GUARDIAN INVESTOR SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/17/1995

Series 63

Date: 9/12/1990

Series 6

Date: 8/3/1990

Current Firm

JAMES HORTON, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JAMES HORTON, LLC

TRUST BUT VERIFY

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