Louis J. Horkan
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.
Louis Joseph Horkan JR, who also goes by Lou Horkon, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1990. Louis had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 1993 - February 11, 1995
FLEMMING, ANDERSON, COHEN & LEE, INC.
February 7, 1992 - April 8, 1992
CHARLES SCHWAB & CO., INC.
June 21, 1990 - February 14, 1991
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
FLEMMING, ANDERSON, COHEN & LEE, INC.
CRD#: 23121 / SEC#: , 8-40210
Contact information
Documents
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.
