EH
Edward A. Horwitz
E. A. HORWITZ LLC
Deerfield, IL 60015
Some features on this profile are disabled
CRD#: 2154232
EH
Professional summary
Edward Alan Horwitz, who also goes by Ed Alan Horwitz, Ed Horwitz, Eddie Alan Horwitz, is a registered financial advisor currently at E. A. HORWITZ LLC located in Deerfield, Illinois and LASALLE ST SECURITIES, L.L.C. located in Deerfield, Illinois.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Edward has worked at 4 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 27, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ed Alan Horwitz | Ed Horwitz | Eddie Alan Horwitz
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.
1) Horwitz & Associates; Investment-Related; DBA for Securities Business; President 2) E.A. Horwitz LLC; Investment-Related; Registered Investment Advisor (RIA); President / Investment Adviser Representative 3) Health, Life, and Variable Insurance; Investment-Related; Agent 4) The Helmsman Group; Investment-Related; Portfolio Management Services to Registered Investment Advisor (RIA) Firms; President 5) FINRA; Investment-Related; Arbitrator 6) Series 7 Writing Committee; Investment-Related; Committee Member; Write & review FINRA Series 7 Exam questions 7) Chair of Sigma Alpha epsilon (SAE) Investments; oversee the investment fund for the National Fraternity 8) RMCC Scholarship Chair; award college scholarships to employees 9) The Lodge of Northbrook - Treasurer serves on the board of 4 directors.
CRS (Client Relationship Summary) - RIA
Click below to view Edward Alan Horwitz'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®
NoneExperience
Current
November 19, 2012 - Present
E. A. HORWITZ LLC
Office #1: 1650 Lake Cook Rd. Suite 190, Deerfield, IL 60015RIA
CRD#: 165561
Deerfield, IL
Current
October 4, 2023 - Present
LASALLE ST SECURITIES, L.L.C.
Office #1: 1650 Lake Cook Rd Ste 190, Deerfield, IL 60015BD
CRD#: 7191
Deerfield, IL
Past
April 1, 2013 - September 23, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Deerfield, IL
Past
July 18, 2006 - March 28, 2013
INSIGHT SECURITIES, INC.
RIA
CRD#: 5611
RIVERWOODS, IL
Past
August 5, 1991 - April 2, 2013
INSIGHT SECURITIES, INC.
BD
CRD#: 5611
RIVERWOODS, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EA
E. A. HORWITZ LLC
E. A. HORWITZ LLC | THE HELMSMAN GROUP | HORWITZ & ASSOCIATES
CRD#: 165561 / SEC#: 801-77366
RIA
Registered Investment Advisory firm - (11/16/2012 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(10/4/2023)
RR
Arizona(10/4/2023)
RR
California(10/4/2023)
RR
Colorado(10/4/2023)
RR
Connecticut(10/4/2023)
RR
District of Columbia(10/13/2023)
RR
Florida(10/4/2023)
RR
Georgia(10/4/2023)
IAR
Illinois(11/19/2012)
RR
Illinois(10/4/2023)
RR
Indiana(10/4/2023)
RR
Iowa(10/4/2023)
RR
Louisiana(10/13/2023)
RR
Maine(10/5/2023)
RR
Maryland(10/4/2023)
RR
Massachusetts(10/5/2023)
RR
Michigan(10/4/2023)
RR
Minnesota(10/13/2023)
RR
Missouri(10/4/2023)
RR
Montana(10/4/2023)
RR
Nevada(10/4/2023)
RR
New Jersey(10/4/2023)
RR
New Mexico(10/4/2023)
RR
New York(10/4/2023)
RR
North Carolina(10/25/2023)
RR
Ohio(10/4/2023)
RR
Oregon(10/4/2023)
RR
Pennsylvania(10/4/2023)
RR
Rhode Island(10/4/2023)
RR
South Carolina(10/4/2023)
RR
Tennessee(10/4/2023)
RR
Texas(10/4/2023)
RR
Utah(11/5/2024)
RR
Vermont(10/4/2023)
RR
Virginia(10/4/2023)
RR
Washington(10/4/2023)
RR
Wisconsin(10/4/2023)
RR
Wyoming(10/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/7/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
EA
E. A. HORWITZ LLC
E. A. HORWITZ LLC | THE HELMSMAN GROUP | HORWITZ & ASSOCIATES
CRD#: 165561 / SEC#: 801-77366
RIA
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Contact information
Main Address
1650 Lake Cook Rd. Suite 190, Deerfield, IL 60015
Mailing Address
Phone number
(224) 632-4600
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 369 |
| AUM (Assets Under Management) | $ 221,419,170 |
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.
