Raymond W. 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.
Raymond Walter Horn, who also goes by Raymond Horn, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1997. Raymond had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2007 - December 31, 2013
HORN CAPITAL MANAGEMENT LLC
July 21, 2006 - November 6, 2006
RWH FINANCIAL SERVICES LLC
January 30, 2006 - March 15, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
May 20, 1998 - March 15, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
March 26, 1998 - April 17, 1998
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
April 18, 1997 - March 19, 1998
ADM SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HORN CAPITAL MANAGEMENT LLC
CRD#: 142881 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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