Steven E. Horkay
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.
Steven Edward Horkay was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1991. Steven had worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2015 - February 17, 2023
DRESNER INVESTMENT SERVICES, INC.
August 29, 2001 - June 4, 2015
WEDBUSH SECURITIES INC.
May 20, 1998 - February 1, 2001
BANC OF AMERICA SECURITIES LLC
August 22, 1991 - March 28, 1994
STONE & YOUNGBERG 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
DRESNER INVESTMENT SERVICES, INC.
CRD#: 35145 / SEC#: , 8-46575
Contact information
FINRA licenses (10 States and Territories)
Documents
Red Flags
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