Thomas R. Horwat
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.
Thomas Regis Horwat, AIF®, who also goes by Tom Horwat, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 31, 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
March 15, 2019 - November 19, 2024
LION STREET ADVISORS, LLC
March 15, 2019 - November 19, 2024
LION STREET FINANCIAL, LLC
August 30, 2016 - March 15, 2019
BPU INVESTMENT MANAGEMENT INC.
August 30, 2016 - March 15, 2019
BPU INVESTMENT MANAGEMENT INC.
October 21, 2009 - August 29, 2016
NEWEDGE SECURITIES, LLC
October 20, 2009 - December 31, 2016
SOLENTURE ADVISORS LLC
September 25, 2007 - August 3, 2009
MUTUAL OF AMERICA SECURITIES LLC
September 25, 2007 - August 3, 2009
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
July 12, 2005 - August 1, 2007
NATIONAL PLANNING CORPORATION
July 5, 2005 - August 1, 2007
NATIONAL PLANNING CORPORATION
June 16, 2003 - July 7, 2005
WALNUT STREET ADVISERS INC
March 7, 2003 - July 7, 2005
WALNUT STREET SECURITIES, INC.
November 21, 2001 - January 21, 2003
MORGAN STANLEY DW INC.
August 28, 1998 - July 6, 2001
PNC BROKERAGE CORP
June 24, 1994 - December 12, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 24, 1994 - December 12, 1996
OSAIC FA, INC.
February 14, 1994 - June 15, 1994
METROPOLITAN LIFE INSURANCE COMPANY
February 14, 1994 - June 15, 1994
MSI FINANCIAL SERVICES, 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
LION STREET ADVISORS, LLC
CRD#: 167610 / SEC#: 801-107414
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 7,668 |
| AUM (Assets Under Management) | $ 3,177,363,713 |
Red Flags
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