SH
Stuart J. Horowitz
JOSEPH GUNNAR & CO. LLC
UNIONDALE, NY 11556
Some features on this profile are disabled
CRD#: 2175221
SH
Professional summary
Stuart Jay Horowitz is a registered financial professional currently at JOSEPH GUNNAR & CO. LLC located in Uniondale, New York.
Stuart is registered as a RR (Registered Representative) and started their career in finance in 1992. Stuart has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Stuart Jay Horowitz'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
March 14, 2014 - Present
JOSEPH GUNNAR & CO. LLC
Office #1: 1000 Rxr Plaza East Tower, Uniondale, NY 11556RIA
BD
CRD#: 24795
UNIONDALE, NY
Past
November 22, 2000 - March 13, 2014
EARLYBIRDCAPITAL, INC.
BD
CRD#: 28629
MELVILLE, NY
Past
March 31, 1995 - June 11, 2001
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
July 20, 1993 - March 30, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 20, 1992 - July 1, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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".
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.
CRD#: 24795 / SEC#: 801-121064, 8-41386
RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
California(3/14/2014)
RR
Colorado(3/14/2014)
RR
Connecticut(3/14/2014)
RR
Florida(3/14/2014)
RR
Georgia(3/14/2014)
RR
Illinois(3/14/2014)
RR
Indiana(5/5/2023)
RR
Kentucky(1/16/2018)
RR
Louisiana(3/14/2014)
RR
Maryland(5/9/2023)
RR
Massachusetts(3/19/2014)
RR
Michigan(3/14/2014)
RR
Minnesota(5/6/2023)
RR
Mississippi(5/8/2023)
RR
Nevada(1/30/2018)
RR
New Jersey(4/14/2014)
RR
New York(3/14/2014)
RR
Oregon(1/29/2018)
RR
Pennsylvania(3/14/2014)
RR
Rhode Island(5/11/2023)
RR
South Carolina(3/21/2014)
RR
Texas(3/14/2014)
RR
Virginia(5/8/2023)
RR
Washington(3/14/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.
CRD#: 24795 / SEC#: 801-121064, 8-41386
RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information
Main Address
1000 Rxr Plaza 10th Floor, Uniondale, NY 11556
Mailing Address
1000 Rxr Plaza, Uniondale, NY 11556
Phone number
(212) 440-9600
Established
Delaware since 08/07/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 68 |
| AUM (Assets Under Management) | $ 33,967,899 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 13 |
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.
