James Horvath
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.
James Horvath was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
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Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2020 - December 11, 2023
FIDES CONSULTING
August 8, 2019 - October 22, 2019
CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC
July 31, 2019 - October 11, 2019
M HOLDINGS SECURITIES, INC.
September 2, 2016 - May 9, 2019
PNC CAPITAL ADVISORS LLC
August 30, 2016 - May 14, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
March 3, 2014 - December 17, 2015
BNY MELLON SECURITIES CORPORATION
September 16, 2011 - April 8, 2013
MSEC, LLC
March 6, 2006 - July 28, 2010
COMMONFUND SECURITIES, INC.
October 23, 2002 - April 2, 2004
UBS FINANCIAL SERVICES INC.
March 19, 1999 - April 2, 2004
UBS FINANCIAL SERVICES INC.
May 23, 1994 - March 5, 1999
LORD ABBETT DISTRIBUTOR LLC
State Registrations and Notice Filings
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Exams
Current Firm
FIDES CONSULTING
CRD#: 308004 / SEC#:
Contact information
Red Flags
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