Geoffrey K. Horn
Professional summary
Geoffrey Keith Horn was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Geoffrey is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Geoffrey had worked at 5 firms, which includes EWEALTH SECURITIES INC., J.P. TURNER & COMPANY L.L.C., MERIT CAPITAL ASSOCIATES INC., DUKE & CO. INC., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 1999 - May 11, 1999
EWEALTH SECURITIES, INC.
February 11, 1998 - April 28, 1999
J.P. TURNER & COMPANY, L.L.C.
January 12, 1998 - January 27, 1998
MERIT CAPITAL ASSOCIATES, INC.
March 15, 1994 - December 4, 1997
DUKE & CO., INC.
February 24, 1994 - March 9, 1994
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Exams
Current Firm
EWEALTH SECURITIES, INC.
CRD#: 25589 / SEC#: , 8-41857
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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