Herbert L. Horen
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.
Herbert Leo Horen was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1975. Herbert had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 1, Series 27, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2001 - October 5, 2020
WILLOW COVE INVESTMENT GROUP, INC.
May 28, 1997 - July 17, 2001
ROTH CAPITAL PARTNERS, LLC
May 31, 1995 - September 21, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
February 18, 1992 - May 25, 1995
PRUDENTIAL EQUITY GROUP, LLC
January 15, 1985 - February 27, 1990
PRUDENTIAL EQUITY GROUP, LLC
October 5, 1982 - January 28, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
September 12, 1978 - October 13, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 1
Date: 8/10/1962
Registered Representative ExaminationSeries 40
Date: 2/13/1975
Registered Principal ExaminationSeries 12
Date: 1/30/1975
NYSE Branch Manager ExaminationCurrent Firm
WILLOW COVE INVESTMENT GROUP, INC.
CRD#: 107824 / SEC#: , 8-53062
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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