Deborah J. Morgan-nelson
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.
Deborah June Morgan-nelson, who also goes by Deborah June Morgan, Deborah June Nelson, Deby Nelson, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1991. Deborah had worked at 6 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2006 - April 4, 2012
HORIZON INVESTMENT SERVICES, LLC.
June 20, 2000 - September 4, 2001
MORGAN STANLEY DW INC.
February 24, 1998 - July 7, 2000
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 22, 1996 - February 17, 1998
RODMAN & RENSHAW INC.
July 12, 1993 - May 23, 1996
CIBC WORLD MARKETS CORP.
October 23, 1991 - July 12, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
HORIZON INVESTMENT SERVICES, LLC.
CRD#: 110642 / SEC#: 801-63047
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
HORIZON INVESTMENT SERVICES, LLC.
CRD#: 110642 / SEC#: 801-63047
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 568 |
| AUM (Assets Under Management) | $ 363,823,928 |
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.
