Mark R. Horn
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.
Mark Randall Horn, CFP®, ChFC®, CLU® was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2005
Experience
June 13, 2017 - November 6, 2024
INVESTMENT INITIATIVES, LLC
August 22, 2011 - June 8, 2017
FORESTERS EQUITY SERVICES, INC.
March 17, 2011 - June 8, 2017
FORESTERS EQUITY SERVICES, INC.
June 3, 2009 - September 20, 2010
EQUITAS AMERICA, LLC
June 6, 2003 - June 11, 2009
VALIC FINANCIAL ADVISORS, INC.
April 18, 1996 - June 4, 2003
EQUITAS AMERICA, LLC
March 8, 1993 - April 23, 1996
MULTI-BANK SECURITIES, INC.
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
INVESTMENT INITIATIVES, LLC
CRD#: 170334 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 72 |
| AUM (Assets Under Management) | $ 27,123,421 |
Red Flags
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