Lisa L. 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.
Lisa L Horn, who also goes by Lisa Lynn Kuether, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1994. Lisa had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2007 - January 5, 2016
NORTH STAR INVESTMENT MANAGEMENT CORPORATION
April 25, 2007 - January 5, 2016
NORTH STAR INVESTMENT SERVICES, INC.
March 5, 2004 - April 9, 2007
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
March 3, 2004 - April 9, 2007
NEWEDGE SECURITIES, LLC
March 22, 2002 - February 13, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 25, 2002 - February 13, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 10, 2001 - February 19, 2002
KEYBANC CAPITAL MARKETS INC.
November 13, 1997 - May 3, 2001
WELLS FARGO CLEARING SERVICES, LLC
September 18, 1996 - November 10, 1997
HOCHMAN & BAKER SECURITIES, INC.
February 1, 1996 - September 5, 1996
GOLDMAN SACHS & CO. LLC
January 1, 1994 - December 4, 1995
STRONG INVESTMENTS, INC.
Primary Firm SEC Registration
NORTH STAR INVESTMENT MANAGEMENT CORPORATION
CRD#: 117681 / SEC#: 801-62013
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
NORTH STAR INVESTMENT MANAGEMENT CORPORATION
CRD#: 117681 / SEC#: 801-62013
Contact information
SEC notice filing (31 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,532 |
| AUM (Assets Under Management) | $ 2,280,660,353 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/21/2024 | ||
| 08/28/2023 | ||
| 09/27/2022 |
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.
